Compliance Officer

by Varsha Mankani in Banking & Financial Services    12th Mar, 2020       HK Island

Compliance Officer

Introduction:

Our client is a well-established financial services company.

Responsibilities:

  • Carry out regular compliance checks with recommendations
  • Prepare and update compliance policies and procedures with latest regulatory requirements
  • Review policies and procedures prepared by other departments and provide input to ensure compliance with applicable legal and regulatory requirements
  • Assist in performing ad-hoc projects
  • Involve in compliance monitoring and investigation

Requirements:

  • Degree holder in Accounting, Finance, Law or related disciplines
  • Minimum 4 years of compliance experience in asset management industry/FI/ securities brokerage firms preferred.
  • Good communication skills, self-motivated, result-oriented, able to work with all levels of people
  • Good command of written and spoken English and Cantonese. Mandarin is highly preferred.
  • Strong in MS Office, especially MS Excel
  • Candidates with less experience will be considered as Compliance Officer

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