Compliance Officer Compliance Officer …

Aston Carter Hong Kong
in Hong Kong
Permanent, Full time
Last application, 15 Jan 21
Competitive
Aston Carter Hong Kong
in Hong Kong
Permanent, Full time
Last application, 15 Jan 21
Competitive
Compliance Officer
¨ Assist in monitoring daily trading activities
¨ Assist in carrying out regular compliance check at front, middle and back offices
¨ Assist in reviewing, revising and drafting internal manuals, policies and procedures to ensure in compliance with rules and regulation of the SFC and HKEx
¨ Assist in liaising with regulators, legal consultants ¨ Assist in handling inquiries from regulators, e.g. the SFC and HKEx, and listing companies
¨ Assist in conducting AML/KYC checking and other necessary investigations
¨ Assist in CRS reporting
¨ Assist in preparing compliance training to staff ¨ Perform ad hoc assignment as required Requirements:
¨ Degree holder in finance, law or related disciplines is preferable with minimum 2-year relevant experience ¨ Familiar with rules and regulations of the SFC and SEHK
¨ Able to work independently, self-motivated with strong sense of responsibility and analytical mind ¨ Good command of English, Cantonese, and Mandarin
¨ Proficiency in MS Word, Excel

If you would like to apply for this role or find out more, please apply online or contact Kaylen Chan at Aston Carter on +852 3473 3165 or Kaylen.Chan@astoncarter..com
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