Zhongrong PT Securities Limited

Compliane Manager/Senior Compliance Manager

Zhongrong PT Securities Limited
Salary negotiable
Posted on 26 Sep 2020

Compliane Manager/Senior Compliance Manager

Zhongrong PT Securities Limited

Job Highlights

  • Good knowledge in financial market regulations
  • Manage and liaise with SFC
  • At least 4-5 years experience in a securities firm

Job Description

Responsibilities:

  • Supervision of compliance of all business activities, identify and evaluate compliance risks and provide alternative solutions;
  • Provide day to day regulatory advice and guidance on rules and internal policies including AML and its latest updates, review business processes to ensure compliance with regulatory requirements;
  • Update and maintain compliance policies and manuals of the business units as necessary on ongoing basis;
  • Deliver in-house Compliance training to business units;
  • Manage relationship with regulatory bodies, including SFC and HKEX, etc., handle queries and requests;
  • Co-ordinate and manage ad-hoc compliance related projects and tasks.

Requirements:

  • Degree holder in Law, Finance or other related disciplines;
  • Minimum 4-5 years of relevant compliance experience gained within securities industry;
  • Good command of spoken and written English, Cantonese and Mandarin;
  • Strong presentation and communication skills;
  • Self-motivated, well-organized, able to work under pressure and have good team spirit.

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
Not Specified
Qualification
Degree
Years of Experience
5 years
Job Type
Full Time, Permanent

Company Overview

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。

Zhongrong PT Securities Limited is principally engaged in the provision of a wide range of financial services including brokerage, futures, sales and trading, etc. Our group parent company, Zhongrong International Trust Co., Limited, is ranked as one of Top 5 Trust Companies in mainland China. To cope with our business growth and expansion, we are looking for high caliber candidates to join our dynamic team.

Additional Company Information

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