• Permanent, Full time
  • Randstad Hong Kong
  • 21 Aug 19

Compliance Officer, Foreign Securities Brokerage

  • Hong Kong
  • Competitive
  • Full time

Compliance Officer, Foreign Securities Brokerage

job description

about the company
Our client is a foreign securities brokerage with strong presence in the region.

about the job
  • Carry out daily compliance functions primarily for the securities business as well as IBD business
  • Conduct compliance analysis and monitoring with the Compliance Plan
  • Build and implement compliance policies, procedures and controls
  • Monitor changes in the regulatory (including HKMA and SFC)
  • Provide training on regulatory requirements to staff
  • Assist with periodic compliance reporting to senior management

skills & experiences required
  • At least 1-2 years experience in compliance in SFC regulated financial services
  • Ideally with knowledge of HKMA and SFC regulations and rules
  • Strong analytical and problem solving skills
  • Good communication skills in English and Chinese

To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Nicole Hui on + 852 2232 3421 or email: nicole.hui@randstad.com.hk

Compliance Officer, Global Markets compliance, compliance advisory, trade surveillance, capital markets

Compliance Officer, Foreign Securities Brokerage

Compliance Officer, Foreign Securities Brokerage

educational requirements
Bachelor Degree