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Associate, General Compliance – Investment Banking
Charterhouse Partnership Hong Kong, EA Licence No: 16S8066
March 5, 2020
To establish, implement and monitor compliance policies, procedures and standards of Hong Kong operations;
Assist to review, update and enhance the compliance frameworks on the Company's various business activities and initiatives, including compliance audit checking;
Perform regular compliance reviews/ checking and monitoring to ensure regulatory and internal requirements are complied with;
Ensure the daily operations comply with SFC and regulatory requirements in different markets;
Such other duties as shall from time to time be directed by your superiors.
Bachelor degree or above in law, finance, accounting or related disciplines;
A minimum of 4 years of relevant experience in securities/ futures brokerage firm, fund house, investment bank or sizable financial institutions;
Familiar with SFO and HKEX rules in securities, futures and corporate finance, as well as the operations, products and services in licensed corporations;
A good team player and a quick learner;
Responsible, detailed-minded with good communication skills;
Excellent command of spoken and written Chinese (including Mandarin) and English
If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, enquiries@ charterhouse.com.hk Tel: (852) 3151 1300 Web: www.charterhouse.com.hk
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