Senior Associate/Associate- Compliance and Legal Affairs Department
Yue Xiu Securities Holdings Limited
灣仔區灣仔
長期
全職
4天前
We offer attractive remuneration package, 5-day work, competitive fringe benefits (wedding leave, body check, group medical insurance, dental insurance etc.) and excellent career development opportunity to the right candidate.ResponsibilitiesHandle SFC licensing application and CPT records;Reviewing and drafting of internal procedures & policies;Provide constructive compliance solution and advice to Types 1,4,6,9 businesses;Monitoring & surveillance of clients’ trading activities and anti-money launderingAssist in handling SFC inquiries related to s.181 & s.182Participate in any ad-hoc projects and internal investigation(s) and drafting reports in ChineseFostering strong relationships with other front and back office functions to optimize efficiency.General Knowledge of FATCA and CRSOther tasks assigned by Head of ComplianceRequirementsDegree holder in Law / Finance or related disciplines;At least 3-5 years compliance experience in the financial services industry or with regulatory bodies.Good knowledge of SFC regulations / guidelines and market practicesGood command of written and spoken English and Chinese (including Putonghua)Ability to work independently and under pressureLess experienced candidates will be hired as Associate.Interested parties please send CV, to the Human Resources Department by clicking "APPLY NOW".Applicants not invited for interviews within six weeks may consider their applications unsuccessful. Our Company is an equal opportunity employer. Personal data collected will be used for recruitment purpose only.All information provided will be treated confidentially.All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.