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Assistant Compliance ManagerZhongrong PT Securities Limited
Assistant Compliance ManagerZhongrong PT Securities Limited
Job Highlights
  • Medical Insurance
  • Good development opportunities
  • Five-day work week
Job Description

Responsibilities:

  • Identify and evaluate compliance risks of the operations and business activities for Brokerage business and provide alternative compliance solutions
  • Assist to provide day to day regulatory advice and guidance on rules and internal policies including AML and its latest updates; review business processes and new initiatives to ensure compliance with regulatory requirements
  • Assist to draft, revise, update and maintain compliance policies and manuals of the business units as necessary on ongoing basis
  • Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
  • Co-ordinate and manage ad-hoc compliance related projects and tasks.

Requirements:

  • Degree holder in Law, Finance or other related disciplines
  • At least 3 years of relevant hands-on compliance experience gained from a securities firm 
  • Good command of spoken and written English, Cantonese and Mandarin
  • Self-motivated, meticulous, analytical and strong organizational skills
  • Candidates with more experience will be considered as Compliance Manager

 

Interest parties please send your full resume including your current salary, expected salary and availability by clicking "APPLY NOW".

 

**Data collected will be used for recruitment purpose only.

 

Additional Information
Career Level
Middle
Qualification
Degree
Years of Experience
3 years
Employment Type
Full Time, Permanent
Benefits
Five-day work week, Medical insurance, Performance bonus
Company details

中融平和證券有限公司註冊於香港,是中融國際信托控股有限公司之子公司及唯一境外券商平台,是一家立足香港、面向全球的國際金融機構,致力於成為連接中國與海外資本市場的橋樑。中融平和證券有限公司為香港證監會監管之證券、期貨及外匯項下持牌機構,依託股東雄厚的資本實力、穩健的經營風格和廣泛的客戶基礎,竭誠為優質企業提供一站式金融服務及面對機構投資者和個人高淨值客戶的證券經紀服務。