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Responsibilities: - Ensure the Company's business operations are in compliance with relevant rules and regulations by providing advice on all SFC type 1 business activities, not limited to trading, margin financing, e.t.c. - Implement internal policies and procedures to identify, measure, monitor, control and report relevant business compliance matters - Perform controls over KYC and AML and handle the relevant matters. - Identify, resolve and escalate compliance risk timely - Monitor for regulatory changes and communicate such to the relevant staff Requirements: - Bachelor degree holder or above in financial or business-related field - At least 7 years of relevant experience in compliance, specializing in sales and trading area - Previous work experience in SFC is a plus - Well versed in market practice in sales and trading business and AML - Familiar with the rules and regulations of the SFC and HKEx - Good analytical skills and able to work independently - Excellent commend in written and spoken English and Chinese, including Mandarin
To apply, please send your CV with expected salary to Ms. Cynthia Chui by clicking below "APPLY NOW" button or 23rd Floor, Hysan Place, 500 Hennessy Road, Causeway Bay, Hong Kong. By submitting your application, you agree to receive communications from us and agree our Personal Information Collection Statement in the following link: www.kpmg.com.cn/KER-opportunities
@2019 KPMG Executive Recruitment Limited, a Hong Kong limited liability company and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative ("KPMG International"), a Swiss entity. All rights reserved.
Internal Number: 5626001
About KPMG Executive Recruitment Limited
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