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Officer, Trade surveillance, compliance

Job description


Responsibilities

  • Handle general enquiries from SFC, HKEx and other regulators
  • Coordinate and liaise with regulators and frontline staffs on all licensing matters
  • Perform compliance monitoring such as declaration of staff dealing and fulfillment of CPT requirement;
  • Facilitate the regulatory inspection and prepare documents/responses as required; Assist in consultation raised by operation team relating to compliance issues;
  • Handle compliance related issues including but not limited to anti-money laundering and connected transactions
  • Formulate and review compliance policies and procedures in accordance with regulatory requirement
  • Provide internal training to enhance employee's compliance consciousness

Requirements

  • Bachelor's degree with major in Business Administration, Risk Management or any related disciplines
  • Minimum of 3 years of compliance experience in financial institutions or investment banks
  • High integrity in compliance to Company's regulations and requirements
  • Self-motivated, responsible, and able to work under pressure
  • Excellent verbal and written communication n skills Mandarin and English

Contact Andy Yip at (852) 3103 4309 / andy.yip@ambition.com.hk or APPLY NOW by clicking the button below quoting reference number AY 247566

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If this job isn't quite right for you, but you know someone who would be great at this role, why not take advantage of our referral scheme? We offer HKD1000 in Apple gift cards for every referred candidate who we place in a role. Terms & Conditions Apply. https://www.ambition.com.hk/refer-a-friend