Responsibilities:

• Develop compliance programs and perform compliance testing
• Assist in providing AML, KYC and due diligence to support business team
• Handle client complaints and perform necessary investigation;
• Handle ad hoc assignments

Requirements:

• Degree holder in finance, law or related disciplines
• Minimum 2-year compliance experience with brokerage firm
• Excellent knowledge of rules and regulations relating to securities brokerage
• Self-motivated, a team player and results orientated
• Good command of English, Cantonese and Mandarin