Officer, Trade surveillance, compliance

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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