Our client is a PRC Financial Group, listed in HK main board. She is now inviting caliber candidates to join her team with the requirements below:
- Responsible for all compliance matters and operations of the Securities business (RA 1)
- Liaise and handle SFC for inspection, licensing and enquiries
- Assist to supervise the Compliance Team in ensuring the group comply with internal and regulatory requirements
- Draft and review legal agreements/ documents for the various licensed entities.
- Execute a risk-based compliance monitoring program and provide guidance for new projects
- Conduct AML surveillance, KYC/DD, FATCA, CRS, AEOI to ensure to comply with the regulatory requirement.
- Monitor all employee staff dealing in securities on the watch list or restricted list. Provided compliance advisory support in current and new business initiatives
- Work closely with external legal entity for the group company
- Conduct training and provide advice to licensees
- Degree holder in Law, Finance or other related disciplines;
- Minimum 5 years relevant compliance experience gained from securities industry,
- Good command of spoken and written English ( Cantonese and Mandarin)
- Strong presentation and communication skills;
- Self-motivated, well-organized, able to work under pressure and have good team spirit;
- Immediately available is highly preferred.
*** Pls send CV to firstname.lastname@example.org or contact us at 2520 0064 for more infor.
5 years relevant experience
Enquiry: 2520 0064
To apply for this job, please send your CV to email@example.com