SuperSearch is a recruitment agent for all industries, specializing in BANKING and FINANCE. We are well experienced in placing banking/finance professionals in this industry. Our clients are international investment banks, merchant banks, corporate banks, asset management companies and brokerage firms. Our main goal is to fulfill our clients' as well as our candidates' needs by placing right professionals to right career.
AM / Senior Officer - Compliance (Brokerage Firm)
jobsDB Ref. JHK100003004781329
- Review and update internal control policies and procedures and keep track of regulatory requirements
- Undertake regular compliance monitoring reviews
- Coordinate and liaise with regulatory authorities on enquiries, reporting, inspection or investigation
- Assist in developing and delivering compliance training and reviewing relevant legal documents
- Degree in Law, Accounting, Finance or other related discipline with at least 3 years' relevant experience in Type 1 (Dealing in Securities) License.
- Business License, preferably in Compliance
- Well-versed with Securities Ordinance and HKEx regulations
- Good command of spoken & written English & Chinese, with self-initiative, independent and willing to work under pressure