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China Merchants Securities International Company Limited

Associate, Compliance (Control Room/ General Compliance)

China Merchants Securities International Company Limited
Salary provided
Posted on 21 Jan 2020

Associate, Compliance (Control Room/ General Compliance)

China Merchants Securities International Company Limited

Job Highlights

  • General compliance
  • Control Room
  • Chinese Investment Bank

Job Description


Job Responsibilities:

  • To establish, implement and monitor compliance policies, procedures and standards of Hong Kong operations;
  • Assist to review, update and enhance the compliance frameworks on the Company's various business activities and initiatives, including compliance audit checking;
  • Perform regular compliance reviews/ checking and monitoring to ensure regulatory and internal requirements are complied with;
  • Ensure the daily operations comply with SFC and regulatory requirements in different markets;
  • Such other duties as shall from time to time be directed by your superiors.


Job Requirements:

  • Bachelor degree or above in law, finance, accounting or related disciplines;
  • A minimum of 3 years of relevant experience in securities/ futures brokerage firm, fund house, investment bank or sizable financial institutions;
  • Familiar with SFO and HKEX rules in securities, futures and corporate finance, as well as the operations, products and services in licensed corporations;
  • A good team player and a quick learner;
  • Responsible, detailed-minded with good communication skills;
  • 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 International Company Limited, 17/F., Tower B, Manulife Financial Centre, 231 Wai Yip Street, Kwun Tong, Kowloon 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.

Additional Information

Career Level
Years of Experience
3 years
Employment Type
Full Time, Permanent

Company Overview


China Merchants Securities International Co., Limited (“we”), wholly owned by China Merchant Securities Company Limited (Stock Code: 6099.HK/600999.SH), is principally engaged in the provision of a wide range of financial services including brokerage, corporate financing, sales and trading, leveraged and structured lending, asset management, private equity, global commodities and futures. We are searching high caliber talents to help develop and take part in the growth of our business.


Additional Company Information

Benefits & Others
Dental insurance, Education allowance, Five-day work week, Free shuttle bus, Life insurance, Medical insurance, Overtime pay, Performance bonus

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