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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
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 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 regulated activities would be an advantage
Flexible attitude and independent
Reliable with integrity, responsibility and strong commercial sense