CMS(HK) was established in 1986, wholly owned by the China Merchant Securities Company Limited, is principally engaged in the provision of a wide range of financial services including stock broking, margin financing, nominee and custodian services, IPO share financing, corporate finance advisory, provision of research reports and asset management. We are searching high caliber talents to help develop and take part in the growth of our business.
jobsDB Ref. JHK100003004833584
This role is mainly responsible for managing training & people development programs and performance management cycle in line with organization development.
- Provide compliance support and advice to business units on the public side covering Equities, Global Commodities, Asset Management, Fixed Income, LSF and Direct Investment in relation to their new and existing business activities (including AML and account opening issues);
- Drive key compliance projects, like new PI regime implementation, automation of exception reports and compliance requirements under electronic trading regime etc.;
- Handle regulatory enquiries/investigations/inspections on licensed corporations;
- Establish/update and implement compliance manual, policies and procedures, guidance notes;
- Prepare training materials and conduct compliance training sessions;
- Handle complaints from clients coming through the Client Complaint Hotline and perform investigation;
- Coach and grow team members; and
- Ad-hoc duties to be assigned from time to time.
- Bachelor Degree holder of Law, Accounting, Finance, Economics or relevant disciplines;
- Demonstrable ability in balancing risk and business development and possess good judgment of issues and risks;
- Solid knowledge of rules, regulations and statutory requirements from the Hong Kong Monetary Authority and the Securities and Futures Commission is required;
- Excellent communication skills and interpersonal skills; confidence and able to challenge the status quo;
- Solid experience in end-to-end project management;
- 6-8 years compliance experience gained within financial institutions;
- Excellent command of spoken and written Chinese and English. Conversational level of Mandarin is required.
We offer attractive remuneration and benefits including 5-day working week to the right candidates. Interested parties, please send your full resume including your CURRENT and EXPECTED salary to Head of Human Resources Division, China Merchants Securities (HK) Co., Ltd., 48/F, One Exchange Square, Central, Hong Kong or by email.
Personal data provided will be used by us for recruitment and related purposes, which is strictly in accordance with the Personal Data (Privacy) Ordinance (Cap. 486 of the Laws of Hong Kong) for Applicants for Employment. Applicants who are not contacted within 6 weeks may consider your applications unsuccessful and the personal data collected will be destroyed after 2 years or such other period as prescribed by the applicable laws.