- 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.
- 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".
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