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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
Develop and maintain IT Security, Risk and Compliance frameworks, policies and standards for the group
Conduct compliance investigation pertaining to incidents, complaints or administration issues
Participate in ad hoc projects
Degree holder of Law, Accounting & Finance or other related disciplines
2-4 years of relevant working experience in asset management/ 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 1,2,4,5,9 regulated activities would be an advantage
Flexible attitude and independent
Reliable with integrity, responsibility and strong commercial sense
Good command of English and Chinese and fluent Putonghua