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summary

hong kong
randstad hong kong
HK$35,000 per month
permanent
full-time

specialism
banking & financial services
sub specialism
compliance, risk & governance
reference number
91M0206186_1915315134931666478

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job details

about the company.

Our client is one of the Leading Securities firms with a strong presence in APAC.

about the job. ...

Ensure company activities, policies and procedures comply with latest regulations. Involved in full spectrum of compliance such as business compliance, regulatory compliance, AML etc
Act as a contact point for regulators. Liaise with regulators and external parties (i.e. auditors/lawyers), assist SFC on-site inspection and investigation, etc.
Develop and roll out new regulatory policies and procedures
Conduct gap analysis and suggest modification on existing compliance framework and practice
Perform daily transaction monitoring, KYC and onboarding review, AML review, provide daily AML advisory to business units
Identify compliance risks and provide recommendations to senior management
Review daily compliance duties performed by subordinates
Modify compliance framework to mitigate risks

skills & experiences required.

Bachelor's Degree holder preferably in Law or other business-related disciplines
Minimum of 3 years' compliance experience in online brokerage or other SFC-regulated corporation. Candidates with less experience would be considered for Officer/Senior Officer grading
Strong knowledge in SFC Type 1, 4, 9. Candidates with experience in SFC Type 1 license regulations is a must
Good command of written and spoken English and Chinese

To apply online, please click on the link. Alternatively, for a confidential discussion please contact Bowie Lau on + 852 2232 3484 or email: bowie.lau@randstad.com.hk

about the company.

Our client is one of the Leading Securities firms with a strong presence in APAC.

about the job.

Ensure company activities, policies and procedures comply with latest regulations. Involved in full spectrum of compliance such as business compliance, regulatory compliance, AML etc
Act as a contact point for regulators. Liaise with regulators and external parties (i.e. auditors/lawyers), assist SFC on-site inspection and investigation, etc.
Develop and roll out new regulatory policies and procedures
Conduct gap analysis and suggest modification on existing compliance framework and practice
Perform daily transaction monitoring, KYC and onboarding review, AML review, provide daily AML advisory to business units
Identify compliance risks and provide recommendations to senior management
Review daily compliance duties performed by subordinates
Modify compliance framework to mitigate risks

skills & experiences required. ...

Bachelor's Degree holder preferably in Law or other business-related disciplines
Minimum of 3 years' compliance experience in online brokerage or other SFC-regulated corporation. Candidates with less experience would be considered for Officer/Senior Officer grading
Strong knowledge in SFC Type 1, 4, 9. Candidates with experience in SFC Type 1 license regulations is a must
Good command of written and spoken English and Chinese

To apply online, please click on the link. Alternatively, for a confidential discussion please contact Bowie Lau on + 852 2232 3484 or email: bowie.lau@randstad.com.hk

experience
2 years
skills
credit risk, credit analysis, credit control, risk management, margin financing, securities, bonds, derivatives, VBA, Excel-Macro
qualifications
Strong knowledge in SFC Type 1, 4, 9. Candidates with experience in SFC Type 1 license regulations is a must
education
Bachelor Degree

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Our consultant will call you to discuss your application and further career aspirations if you're suitable for a role.
getting you registered.
If you’ve never worked with us before, we’ll need some basic additional pieces of information to confirm your eligibility to work in Hong Kong SAR.
compliance check.
Next, we just need to verify a few things - we’ll make the relevant compliance checks and keep you posted.
reference and background check.
As part of the process in ensuring you’re perfect for the role, we’ll make contact with any relevant references you’ve provided.
the perfect job for you.
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bowie lau

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compliance analyst, aml transaction monitoring.

job details

experience

skills

qualifications

education

the application process.

apply with randstad.

we’ll give you a call.

getting you registered.

compliance check.

reference and background check.

the perfect job for you.

the interview.

start your new job.

get in touch

bowie lau

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