Responsibilities

• Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements

• Advise on compliance issues and potential impact of regulatory trends and developments

• Provide practical compliance advice for business such as retail and institutional brokerage, global markets business

• Perform license applications, notifications, enquiries, surveys and maintain relevant records

• Perform trade surveillance and regular reviews to identify potential compliance or internal control issues

• Establish compliance monitoring programs and undertake investigations into any suspicious transactions reported

• Perform AML/KYC and account opening reviews including customer due diligence and periodic reviews etc

• Review client documentations and marketing materials

• Conduct internal compliance trainings and maintain CPT records

• Provide compliance advice on new product development, systems and business initiatives relating to retail and institutional business

• Implement adequate compliance controls to ensure stakeholders and business unit comply with applicable rules and regulations
• Establish comprehensive compliance framework and update policies and procedures to ensure compliance with the regulatory requirements

• Undertake various ad hoc compliance projects and initiatives as required from time to time

  
  
  

Requirements

• Degree holder in Business, Finance, Law or other related disciplines

• Minimum 8 years of legal and compliance experience in brokerage companies/regulators

• Proficiency in written and spoken English, Cantonese, and Putonghua is a must

• Excellent communication and presentation skills

• Proactive working attitude and a team player

• Responsible and able to work under pressure

• Immediately available is preferred

Whatsapp : 852 -93193692