about the company.
Our client is a leading technology-driven online brokerage and wealth management platform. It offers innovative financial services, including stock trading, margin financing, and wealth management solutions to a diverse range of clients. It has gained recognition as a trusted platform in the financial industry
compliance testing/assurance senior officer/officer.
- hong kong
- posted 8 september 2023
- closes 6 november 2023
key responsibilities
Monitor regulatory changes and update policies and procedures accordingly.
Handle regulatory reporting and inquiries with relevant exchanges and regulators.
Conduct risk assessments and develop compliance testing plans for key risk areas.
Manage and execute compliance testing for securities brokerage and related businesses.
Provide recommendations for policy, process, and system enhancements to mitigate compliance risks.
Prepare reports on compliance testing findings and recommendations.experience
3 yearsskills
no additional skills requiredqualifications
3-5 years of experience in brokerage firms, financial institutions, or big 4 audit/law firmseducation
Bachelor Degree
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