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Develop and implement compliance policy and review program covering our equities, structured products and global commodities and futures businesses with particular emphasis on the compliance with the relevant rules and regulations in Hong Kong;
Provide compliance guidance, conduct training and make recommendations for improvement areas to minimize compliance risk;
Advise business and functional units on relevant compliance related matters such as reviewing new products / services and marketing materials;
Participate in new product development and undertake projects when necessary;
Perform trade surveillance and other regular reviews to identify potential compliance or internal control issues;
Liaise with regulators, auditors, business and functional units on compliance issues / matters;
Such other duties as shall be directed by your superiors from time to time.
Degree holder in business, accounting, law or related disciplines;
Minimum of 6 years or above of compliance experience with particular focus on providing compliance advisory and support to the front-line and operations;
Good advisory and communication skills and ability to work under minimum supervision;
Excellent command of both written and spoken English and Chinese, ability to communicate in Mandarin preferred
Notes to applicants:
Please apply in strict confidence with full resume, academic record, current and expected salaries.
The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidate will be destroyed within 24 months.
Candidates with Enhanced Competency Framework (ECF): please state on the CV.