Central & Western Area
- Report directly to Chairman
- Leadership role
- Large cap HK Listed Company
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Compliance officer - Legal & Compliance Dpt (Securities Brokerage) $25K-35K
Asia Progress Executive Limited- 2-3yr compliance exp in Securities brokerage,SFC
- Degree holder in business related discipline
- Adv sales&trading issue Compliance surveillance
- Assist in compliance tasks and procedures
- Ensure the requirements of regulators are met
- Timely review of policy & procedures
Senior Compliance Officer / Assistant (Fresh Graduate is Welcome)
Core Pacific - Yamaichi Int'l (H.K.) Ltd- Exposure to various investment products
- Extensive learning opportunities
- Friendly work environment
- Degree or above in Information Technology
- At least 5 years of system administration
- Solid experience in Microsoft Windows, Linux OS
Compliance Assistant / Compliance Officer
China Chengxin (Asia Pacific) Credit Ratings Company Limited- Compliance
- Development opportunities
- Degree holder
Compliance officer/AVP - Legal & Compliance Dpt (Securities Brokerage) $30K-50K
Asia Progress Executive Limited- 2-3yr compliance exp in Securities brokerage,SFC
- Degree holder in business related discipline
- Adv sales&trading issue Compliance surveillance
- 4 years compliance experience
- Banking, TST, 13 months salary + DB
- 14-18 days AL, dental, insurance coverage
- Degree holder, fluent in Putonghua is an advantage
- 1-3 years working experience in Securities co.
- Good knowledge of the SFO
- 2-3yr compliance exp in Securities brokerage,SFC
- Degree holder in business related discipline
- Adv sales&trading issue Compliance surveillance
- Experienced in Blockchain / Crypto Industry
- 3+ years relavant working experence
- 5-day work, competitive salary package
- SFC Type 1,4 &9 regulatory activities
- asset management
- At least 6 years of compliance experience
- Conduct compliance review & prepare reports
- Provide support on product compliance
- University graduate with min. 2 yrs' exp.
- Join a dynamic private equity firm in HK
- Energetic and synergistic team
- Potential for career progressions
Compliance Manager (Well-funded AUM SFC License Firm Type 1, 4 & 9 | EAM)
DNA Recruit Partners Limited- Well-Funded AUM I Buy-side | EAM
- Compliance Manager | Multi Family Office
- Competitive salary package
- Compliance advisory in Capital Market & brokerage
- Knowledge in sales & trading & surveillance
- See job description.
Dealer-Global Market (Associated / Vice President)
CHINA INDUSTRIAL SECURITIES INTERNATIONAL FINANCIAL GROUP LIMITED- Minimum 2 years of dealing-related experience
- SFC License Type 1 & 2
- Bachelor degree
- Professional agency
- Financial license application and retainer service
- Licensed exposure: SFC, IA, Money Lender, MSO,TCSP
- Degree in Business Administration, Law, Finance
- 5 ys of relevant exp. in Compliance function
- Less exp. will be considered as Compliance Officer
- Advise on sales & trading to ensure compliance
- Degree in business related discipline
- 2 yr compliance exp in Securities brokerage
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