Senior Associate, Compliance (Futures Brokerage) Senior Associate, Compliance (Futures Brokerage) …

Mario Recruitment Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Competitive salary with career progression
Mario Recruitment Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Competitive salary with career progression
Our client is a SFC licensed financial institution engaging in futures brokerage businesses globally with strong establishment and networks. In light of their growing business, they would like to invite a high calibre to their Hong Kong office.

Job Responsibilities:

  • Review and perform on the quality compliance tasks regarding the relevant legislations, rules and industry practice including sign-off of client on-boarding, new product approval, KYC procedures, AML procedures, product/client suitability, marketing material and maintenance of CPT records
  • Conduct and report on compliance monitoring on a timely basis, including but not limited to client acceptance review and regular review
  • Prepare operations manual for internal compliance departments
  • Perform various kinds of security & risk assessment
  • Conduct compliance investigation pertaining to incidents, complaints or administration issues
  • Participate in ad hoc projects

  Job Requirements:

  • Degree holder of Law, Accounting & Finance or other related disciplines
  • 2-4 years of relevant working experience in brokerage houses/ securities houses/ AML compliance
  • Good understanding in client on-boarding, KYC and Customer due diligence process is a must
  • Relevant compliance experience with Type 1,2,4,5 regulated activities would be an advantage
  • Flexible attitude and independent
  • Reliable with integrity, responsibility and strong commercial sense
  • Good command of English and Chinese 
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