Concord Securities' headquarter locate in Taipei Taiwan, and it has about 1400 employees in its 30 offices around Taiwan and Hong Kong. By the end of August 2007, Concord Securities’ asset management has reached over NT$143 Billion. Concord will continue to educate our employee to provide the best service to our clients.
Concord believes that customer-orientation is the only key to deliver successful service. Therefore, in recent years, we have continued to recruit professional management teams, provide staff training, and promote human resources, to offer the most professional and comprehensive service qualities.
To cope with our Greater China expansion plan and to strengthen our business operations, we invite high caliber professionals to join us.
Assistant Compliance Manager/Compliance Officer
jobsDB Ref. JHK100003004997917
Principal Duties and Responsibilities
The successful applicant will be responsible to assist management in carrying out the compliance functions of the Company for the provision of equities, futures and options, fixed income, asset management, including establishing, implementing, and enforcing relevant internal policies and procedures by the respective officers and employees in accordance with applicable external legal, regulatory, codes, policy and procedural requirements.
- To report to the Head of the Legal and Compliance Department
- To assist management in the internal compliance control and supervision, and business practices of, the regulated activities conducted by the Company, its subsidiaries, and their respective officers and employees
- To provide advice to members of management, officers and employees on compliance issues
- To develop and establish appropriate and effective policies and procedures on any new regulatory requirements and business products or activities
- To manage and conduct the daily review and monitoring of the regulated business activities of the Company and its subsidiaries, and any proprietary and staff dealing, and to report occurrences of non-compliance or irregularities
- To develop and conduct continuing professional training programs; and
- To manage and supervise the client account opening documentation and requirements
- Degree holder in the areas of business, accounting, law or related disciplines
- Minimum of 2-3 years’ experience in performing internal auditing or compliance functions in the securities industry, such as investment bank or securities firm
- Sound knowledge of the securities industry, including a thorough understanding of equities, futures and options and fixed income products, business operations and practices
- Good knowledge and understanding of the securities laws, rules and regulations, codes and practices of Hong Kong, including those of the local regulators and exchanges
- Excellent analytical skills
- Able to work efficiently and under minimal supervision
- Strong communication and interpersonal relationship skills
- Excellent written and spoken English. Fluent Mandarin is a plus.