About Our Client The client is the Hong Kong arm of a Top Chinese Securities
Job Description * 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
The Successful Applicant * Degree holder in Law, Accounting, Finance, Business Administration or related discipline * 3-year solid work experience in regulatory, AML or brokerage compliance preferably in Chinese financial institutions or regulatory bodies * 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 * Proficiency in both written and spoken English and Chinese (including Mandarin)
