CRIC Securities Company Limited

Compliance Assistant Manager/ Manager

CRIC Securities Company Limited
Salary provided
Posted on 22 Sep 2020

Compliance Assistant Manager/ Manager

CRIC Securities Company Limited

Job Highlights

  • 2 years+ working experience
  • 5 days working, performance bonus
  • medical & dental insurance, physical check-up

Job Description

Responsibilities

  • Provide regulatory advice to research, asset management and corporate finance business, which includes managing of the firm's conflicts, interpreting and assisting the business in enforcing applicable rules and regulations with an emphasis on those relating Chinese walls, investment banking, asset management business and research;
  • Provide verbal and written compliance advice in relation to equites research, asset management and investment banking business;
  • Clearance of research and daily report and ensure research reports are in compliance with regulatory requirements;
  • Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies;
  • Carry out compliance work on the company’s operations & systems and prepare reports for management decisions;
  • Conduct regular compliance training to relevant staff, such as CPT training;
  • Respond to enquiries from regulatory bodies such as SFC;
  • Review contracts and agreements;
  • Comply with regulatory requirements and internal guidelines;
  • Other Ad-hoc assignments.

Requirements

  • University graduate;
  • At least 2 years compliance experience in a Securities firm/ Law firm, work experience as a research compliance position is highly preferred;
  • Good knowledge of the Stock exchange, SFO and SFC codes and Guidelines;
  • Good knowledge of research, asset management and investment banking products of HK/ China Mainland/ Overseas markets;
  • Good team player with excellent communication, problem-solving skills and risk awareness;
  • High proficiency in written and spoken English and Chinese (including Mandarin);
  • Self-motivated, possessing initiative and ability to work independently.

We offer a competitive remuneration package to the right candidate. Interested parties please forward your full resume with availability, current and expected salary by pressing “Apply now”.

 (Data collected will be kept strictly confidential and used for recruitment purpose only)

Additional Information

Career Level
Middle
Qualification
Degree
Years of Experience
2 years
Job Type
Full Time, Permanent

Company Overview

Founded in 2016, CRIC Securities Company Limited (“CRIC”) is a fast-growing boutique financial service provider in Hong Kong. CRIC, the financial arm China’s leading real estate services company - E-House (China) Enterprise Holdings Ltd (2048.HK), has already established an emerging presence in Hong Kong’s capital market, with business ranging from securities brokerage (with a strong focus on IPO/bonds underwriting), real estate securities research and asset management.

CRIC is regulated by the Securities and Futures Commission in Hong Kong with Type 1 (dealing in securities), 4 (advising on securities) and 9 (Asset Management) licenses.

Led by experienced professionals with prestigious career background, CRIC leverages its unparalleled geographic coverage and national network to provide services to institutional and high-net worth clients in Hong Kong and Greater China region and beyond.

We are seeking high caliber candidates to join us.

Additional Company Information

Benefits & Others
Dental insurance, Five-day work week, Medical insurance, Performance bonus