Back to jobs Featured

Compliance Senior Officer/ AM (SFC)

Job description

Our client is an full SFC license corp in Hong Kong. They are looking for a compliance assistant to join their compliance team.

Responsibilities:

  • Assist in compliance, risk monitoring and internal control reviews
  • Provides consultation to local, overseas and China offices on SFO regulatory and compliance issues
  • Handle day-to-day compliance tasks and make sure the company is complying with the SFC regulations and rules
  • Provide compliance advisory to the business unit
  • Monitor the trading patterns of the targeted SFC license representatives

Requirements:

  • Degree Holder in Accounting, Finance, Law or related disciplines
  • 4 year experience in banking or securities or brokerage
  • Proficient in English and Chinese