about 2 months ago
My client is one of the largest regional brokage firms with branches across Asia, Europe, and America. They are currently looking for a senior compliance officer to establish and oversee compliance policies for its securities service.
As a senior member of the team, you will work closely and directly report to the head of legal & compliance of the group.
This is an exciting opportunity for candidates with over 5 years compliance experience within securities firms to step into a large, fast-growing and stable platform.
- Develop, implement, and monitor compliance policies to support Hong Kong branches operations.
- Provide consultations to local, China and overseas offices on compliance policies and regulations.
- Ensure branches operations align with local regulatory institutions.
- Handle enquiries from internal and external parties.
- Degree holder in Law, Finance, Accounting, Business are preferred.
- Minimum 5 years compliance related experience, preferably in securities brokerage firm or sizable banks.
- Knowledgeable in SFC and HKEX rules and regulations.
- Proficient in written and spoken English and Mandarin.
For interested parties, please contact Winifred at +852 2777 6277 or firstname.lastname@example.org for further discussions.