Senior Associate- Compliance and Legal Affairs Department Senior Associate- Compliance and Legal Affairs  …

Yue Xiu Securities Holdings Limited
in Hong Kong
Permanent, Full time
Last application, 09 Mar 21
Salary negotiable
Yue Xiu Securities Holdings Limited
in Hong Kong
Permanent, Full time
Last application, 09 Mar 21
Salary negotiable
Posted by:
Janice Kwok • Recruiter
Posted by:
Janice Kwok
Recruiter
Company Secretarial knowledge is a plus; At least 2 years compliance experience; Good knowledge of SFC regulations

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.

 

Responsibilities

Handle SFC licensing application and CPT record

Review and draft procedures

Provide constructive compliance solution and advice

Conduct compliance review including staff trade on regular basis

Monitor clients’ trading activities and anti-money laundering

Perform other duties as assigned from time to time

General Knowledge of FATCA and CRS

 

Requirements

Degree holder in Law  Finance or related disciplines(Company Secretarial knowledge as a bonus advantage.)

At least 2 years compliance experience in the financial services industry or with regulatory bodies.

Good knowledge of SFC regulations  guidelines and market practices

Good command of written and spoken English and Chinese (including Putonghua)

Ability to work independently and under pressure.

 

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.

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