general compliance, securities firm in Hong Kong

posted
contact
nicole hui, randstad hong kong
job type
permanent
salary
HK$ 20,000 - HK$ 25,000 per year

job details

posted
location
hong kong
specialism
banking & financial services
job type
permanent
working hours
Full-Time
salary
HK$ 20,000 - HK$ 25,000 per year
reference number
91M0152987_1612511336
contact
nicole hui, randstad hong kong
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job description

about the company.

Our client is a Chinese IB/Securities firm with strong presence in the region.

about the job.
  • Liaise with SFC about the license applications and answer all enquiries from SFC
  • Implement the new compliance regular tasks
  • Develop and implement the new compliance checking
  • Monitor the trading patterns of the targeted SFC license representatives
  • Response to the enquiry of the clients
  • Responsible for documentation and development of the compliance trail
  • Identify, pursue and generate new potential compliance risks
skills & experiences required.
  • 1 to 3 years of relevant experience in Securities companies
  • Hands on compliance experience in brokerage, AML, staff dealing and SFC licensing
  • Proficiency in written and spoken English and Chinese (including Cantonese and Mandarin)
To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Nicole Hui on + 852 2232 3421 or email: nicole.hui@randstad.com.hk

skills

General Compliance, Securities Firm

qualification

General Compliance, Securities Firm

responsibilities

General Compliance, Securities Firm

educational requirements

Bachelor Degree