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Our client is a Chinese based Investment Bank with an expanding business, and your exceptional skills in compliance are needed to enhance their compliance functions. With a streamlined organization this company is set for growth, and here is an exciting opportunity to be a part of a business that continually invest in its employees by providing ongoing training, networking and mobility.
Within the Legal & Compliance Department, you will serve as a team member to strengthen the compliance functions for their IBD and Asset Management business.
Handle enquiries from regulatory authorities on on/off-site inspections, licensing matters, etc.
Maintain and update compliance policies and procedures to ensure regulatory requirements
Provide compliance advisory to business units and other relevant counter parties
Perform AML KYC related tasks
Conduct monitoring on business activities such as staff dealing
Prepare periodic reports for senior management
Participate in compliance related ad hoc projects
University graduate with a background in Finance, Business, or Law
Minimum of 3 years of compliance experience in investment banking, asset management, or securities firms
Solid knowledge in SFC, HKEX regulations and guidelines
Excellent interpersonal and communication skills
Proficient in both spoken and written Cantonese, Mandarin and English.
To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.