Lowongan Kerja bank di Hongkong, Karir perbankan

Our client is a leading securities firm and they are now looking for an Compliance Officer to cope with their business need.

Compliance Officer - Securities - Finance - Banking

Location: Hong Kong

Job Requirements
* A member of ICSA/ HKICS
* Degree in Accounting/ Finance/ Law or related disciplines
* Minimum 2 years compliance experience in financial service industry, preferably in stock broking or securities firm
* Good knowledge and understanding of the SFO, codes and guildelines of SFC
* Good command of English and Chinese, both spoken and written; proficiency in Mandarin is preferred
* Hands-on skills in PC applications (e.g. MS Office and Chinese word processing)
* Independent, organized, detail-minded and with good interpersonal skills
* Immediate available preferable


Job Responsibilities
* Provide regulatory input in structuring of transactions and development of new products
* Provide advisory on regulatory compliance matters and issues
* Identify regulatory compliance issues and risks associated with transactions and products and suggest mitigates for the same
* Monitor changes in and provide updates to applicable laws, rules and regulations to relevant functions
* Review of new work procedures relating to regulatory compliance
* Review of customer complaints for regulatory issues
* Act as a principal liaison party with and coordinator for documents requested by SFC/ HKEX or any other regulatory authority bodies, including regulatory inspections
* Perform regulatory reporting to the relevant authority
* Establish, maintain and enforce compliance procedures in the following areas;
* Legal and regulatory requirements including applicable registration/ licensing and financial resources requirements
* Record keeping (for management and regulatory reporting, audit and investigations)


Interested parties please send resume and expected salary.
Email : kelly138kellyservices.com.hk

Information collected will strictly be confidential and for recruitment purpose only.