SEEK Asia Style Guide

Compliance Officer (Sydney base)Harbridge Partners Limited
  • Overseas
  • HK$55,000 - 90,000 /month (negotiable)
  • Posted on 13 Apr 2019
Compliance Officer (Sydney base)Harbridge Partners Limited
Job Highlights
  • Brokerage,online trading,SFC type 1,2,4,futures
  • financial services,commodities,foreign exchange
  • international,western,brokerage,AML,monitoring
Job Description

Company:

Our client is one of the largest international electronic brokerage firm, also one of the premier securities firms with over $5 billion in equity capital, consists of subsidiaries operating on most major stock, option, futures, forex, bond, ETF and CFD exchanges worldwide. It is also a global leader in technology-focused securities brokerage, covering more than 20 countries around the world. They are currently looking for a high caliber candidate as their Compliance Officer base in Sydney Australia.

 

Job Responsibilities:

  • Independently review the company’s project compliance, review the completeness of transaction documents and provide specific advice to ensure the compliance of projects with regulatory requirements
  • Handling regulatory inquiries from the SFC, ASIC and other Asia Pacific regulatory authorities and exchanges.
  • Conduct transaction monitoring in Australia according to the standards and regulations assigned by our company
  • Study the laws, regulations and guidelines for broker-dealers in the region
  • Explain our company’s standards and regulations to other departments to ensure that other departments follow the codes and conducts of the company
  • Provide compliance consultation, compliance audit for business, investment supervision and compliance control plan
  • Organizing the internal control system and process the relevant information to online financial services, promote the improvement of relevant processes.
  • Ensure our company is up-to-date with the latest regulatory policies and regulatory requirements providing the business department with the most professional advice on compliance
  • Work on managing compliance of other departments in the company

 


Job Requirements:

  • Preferable for candidates to have Law, Economics, Finance or any related undergraduate degrees
  • Require candidates to have 7 years or more work experiences in securities companies, futures companies, online securities futures and foreign exchange trading platform or investment bank compliance.
  • Comprehensive knowledge of all types of anti-money laundering, transactions monitoring, related and extensive knowledge of all law, economics and finance.
  • Familiarity with the policies and regulations of the industry
  • Candidate must posses excellent English skills.
  • Fast and quick-witted learning skills, risk awareness, teamwork and communication skills.

 

 

Company Benefits:

  • The client company is willing to buy out the selected candidate’s notice period and bonus
  • Stable working hours
  • End-of-year bonus
  • Extensive job expansion and development
  • Extensive medical insurance and personal insurance

 

For further information, please contact our Douglas at 2523 9994.

da AT harbridgepartners dot com

consultants At harbridgepartners dot com

Additional Information
Years of Experience
7 years
Employment Type
Full Time, Permanent
Benefits
Dental insurance, Five-day work week, Life insurance, Medical insurance, Performance bonus
Company details

About Harbridge Partners Limited

 

HARBRIDGE PARTNERS is a boutique, executive search and human capital consultancy firm.

We are an Asia-based, premier human capital consultancy and recruitment specialist in the  Legal, Tax, Compliance, Risk, Audit, Internal Audit, Corporate Governance, Infrastructure (Middle Office), Information Security/ Technology and Sales & Marketing, fields.

Due to client requests, we launched our Private Banking / Private Wealth Management Division, servicing all levels of requirements from  Private Bankers, Wealth Planners, Tax Consultants to Portfolio Managers, Credit Specialists and support staff.

Our front-line  Sales & Marketing Practice, is now headed by an ex-investment banker.

Our Legal, GRC (Governance, Risk and Compliance) and Internal Audit Practice is managed by a multi-award winning specialist Legal and Compliance Recruitment Consultant, with over 14 years specialist experience recruiting in these araes.

The founding members have over 35 years relevant executive search and direct industry experience within our specialist industry sectors. We believe we are one of the very few- if not the first, specialist Corporate Governance and Private Banking / Wealth Management recruitment firm comprised of top ex-industry professionals or experienced recruitment specialists specifically focussed on the Asia Pacific. 

We assist our global and local clients in Asia with identifying, developing and recruiting the world’s top talent, exclusively for the fast growing markets of the Asia Pacific regions.

Most of our consultants are multi-lingual and speak fluent English as well as another Asian Language.

 

HARBRIDGE PARTNERS believe in developing long term relationships through open communication, trust and good, honest, ethical hard work as the foundation of our recruitment practices.

Our consultants have won industry recongnition in their specialist areas, for example such as The Asiamoney Polls.

We hope that you will find our market knowledge, professionalism and personal approach, a refreshing change. 

To better serve our clients, we have plans to launch our Singapore and Shenzehn offices soon. If you are a recruitment consultant, looking for a truely international working environment and a total commitment to Asia, please do get in touch.

HARBRIDGE PARTNERS - Delivering Unparalleled Talent

www.harbridgepartners.com