Associate, Compliance

部門：合規與法律事務發佈時間：2022/10/18地點：香港

Responsibilities

Provide practical and accurate compliance advice to business such as Retail and Institutional Brokerage, Wealth Management, Research and Global Markets business
Assist senior compliance management to advise business stakeholders on AML/CFT related enquiries and matters
Assist senior compliance officer to conduct internal investigation and draft conclusion report
Conduct periodic and ad hoc review of internal policies and procedures in light of evolving regulatory environment
Collaborate closely with internal stakeholders for implementation of compliance related projects
Handle regulatory requests, enquiries and examinations in a proper and timely manner
Deliver ongoing internal training to promote compliance culture as appropriate

Requirement

Self-motivated, able to work independently and collaboratively in a highly dynamic environment
Sound knowledge in rules and regulations administered by the SFC, compliance best practices, financial products as well as securities business
Strong analytical skills with ability to make prompt and accurate recommendations
Good interpersonal and communication skills
Degree holder in Law, Accounting, Finance, Business Administration or related discipline
Three-year solid work experience in regulatory, AML or brokerage compliance preferably in Chinese financial institutions or regulatory bodies
Proficiency in both written and spoken English and Chinese (including Mandarin)
Immediately available is highly preferred

We offer attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present & expected salaries and date of availability to Human Resources Department by clicking "Apply Now".