Deputy Head of Compliance Deputy Head of Compliance …

CMBC Capital Holdings Limited
in Hong Kong
Permanent, Full time
Last application, 25 Feb 21
Negotiable
CMBC Capital Holdings Limited
in Hong Kong
Permanent, Full time
Last application, 25 Feb 21
Negotiable
All rounded Compliance exposure in one of the most reroutable Chinese Financial Institutions

Job Responsibilities:

  • Handle compliance area of business activities type 1,2,4,6,9;
  • Review and oversee clients' AML/ KYC / due diligence reports in account opening process;
  • Maintenance and implementation of firm policies and procedures;
  • Develop, implement and enforce policies, procedures, and programs to minimize potential money laundering risk;
  • Advise the business on compliance matters in connection with new markets or products, regulatory updates;
  • Provide compliance advice and support business initiatives

Job Requirements:

  • University degree in related disciplines, preferably in Law;
  • 6 years above relevant experience in sizeable Chinese Securities Firm or Investment Bank is a must;
  • Familiar with the SFC and HKEX rules and regulations and industry practices;
  • Experience and compliance knowledge (KYC/AML) in account opening process is a must;
  • Strong interpersonal and communication skills, self-motivated, responsible and fast paced work under pressure and meet tight deadlines;
  • Proficient in MS Office and Chinese typing
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