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China Merchants Securities International Co., Limited ("we"), wholly owned by China Merchant Securities Company Limited (Stock Code: 6099.HK/600999.SH), is principally engaged in the provision of a wide range of financial services including brokerage, corporate financing, sales and trading, leveraged and structured lending, asset management, private equity, global commodities and futures. We are searching high caliber talents to help develop and take part in the growth of our business.
Provide advice to business units and support on full spectrum of compliance functions, with particular focus in Asset Management businesses, including but not limited to implementation of compliance policy, procedures and other compliance controls, etc. to ensure that Company's activities are in compliance with latest statutory and regulatory requirements;
Conduct regular/ ad hoc compliance monitoring procedures and checking such as tape listening, KYC/ AML surveillance, review of customer account opening documents, etc.;
Review business processes and new initiatives by the business units to ensure compliance with regulatory requirements;
Identify and evaluate compliance risks of the businesss activities;
Monitor internal controls, review and establish compliance policies & procedures to meet with regulatory requirement and make recommendation on existing policies and procedures for enhancement;
Handle enquiries/ requests from the regulators;
Complaint handling, investigation and updating of complaint register;
Assist in tracking regulatory changes and ensure related business units are well informed;
Provide compliance advisory and assist the related business units in understanding and addressing all applicable laws and regulations;
Assist in ad hoc projects as assigned;
Such other duties as shall from time to time be directed by the superiors
Bachelor Degree holder of Law, Accounting, Finance or relevant disciplines;
A minimum of 4 years of relevant compliance experience in reputable financial institutions/ audit firms, e.g. securities/ brokerage firm, investment bank, audit firm, etc.;
Good knowledge of SFC regulations, other relevant regulations and financial products;
Responsible, detail-minded, well-organised with good communication skills;
Excellent command of spoken and written English, Chinese and Mandarin.
We offer attractive remuneration and benefits including 5-day working week to the right candidates. Interested parties, please send your full resume including your CURRENT and EXPECTED salary to Head of Human Resources Division, China Merchants Securities (HK) Co., Ltd., 48/F, One Exchange Square, Central, Hong Kong or by email.
Personal data provided will be used by us for recruitment and related purposes, which is strictly in accordance with the Personal Data (Privacy) Ordinance (Cap. 486 of the Laws of Hong Kong) for Applicants for Employment. Applicants who are not contacted within 6 weeks may consider your applications unsuccessful and the personal data collected will be destroyed after 2 years or such other period as prescribed by the applicable laws.