Our client is a leading Chinese Securities company with a rapidly growing business in Hong Kong. Due to successful ongoing growth they are now searching for a young, proactive talent to join their Compliance team. The successful candidate will be playing a key role in providing compliance coverage for business functions (such as Sales & Trading, Asset Management etc). This is a good opportunity for a responsible team player who is at the beginning of their career in Compliance to become a Compliance professional while working on challenging duties and accumulating knowledge on an extensive range of investment products.
- Conduct daily FICC business advisory - provide advice to business on compliance issues regarding new products, transactions, errors, etc.
- Assist to maintain of control documents including compliance manuals and internal guidelines
- Conducting regular compliance reviews, surveillance, and investigation on Compliance framework including investment suitability, business activities, cross border review, sales process, AML etc.
- Handle enquiries from the regulatory authorities and other departments on compliance related issues
- Independently work on or coordinate within a small team on daily compliance duties
- Identify and manage regulatory risks
- Handle ad hoc assignments related to compliance issues
- Degree holder in Economics, Finance or related disciplines
- 3 years' experience in the compliance of financial institution
- Sound knowledge of the Securities and Futures Ordinance (SFO) and its subsidiary rules, rules and guidelines of the Securities and Futures Commission
- Previous exposure or knowledge on FICC, private funds, asset management, corporate finance
- Solid experience in handling enquiries from local regulators
- Detail-oriented and highly motivated mindset
- Fluency in English and Chinese both in written and verbal, proficiency in Putonghua is a plus
- More experience will be considered as Senior Officer
What's On Offer
- Offer attractive remuneration package and comprehensive fringe benefits
- Rapidly growing business, young team
- Excellent career path and great coverage for a wide range of products
Contact: Ruby So
For an initial confidential discussion please contact Ruby So at +852 3907 0744. You can also email your most updated CV to email@example.com