My client is an established foreign securities brokerage firm with expanding business in the region.
Responsibilities - Advise on compliance issues and requirements across various sectors (retail and insitutional brokerage, global markets).
- Ensure the business has adequate procedures and controls to meet all regulatory requirements.
- Assess and update compliance controls and internal policies regularly.
- Establish and improve compliance monitoring systems to track regulatory risks.
- Identify compliance issues in AML/CFT and manage various ad hoc compliance projects as needed.
Requirements - Degree holder with over 8 years of relevant experience in the compliance functions in the financial services industry.
- Familiar with securities brokerage business operation, products and regulations in Hong Kong.
- Good communication skills in English and Chinese (Cantonese and Mandarin).
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