Posted on: 2018-11-07

Job type: Permanent

Sector: Financial Services

 
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Our client is a leading Chinese Investment Bank based in Hong Kong looking to grow out it's Compliance team.

THE COMPANY

Our client is a leading Chinese Investment Bank with a range of financial services functions catering to retail, high net worth clients and institutional clients. They are looking for a(n) Associate / Senior Associate in it's regulatory compliance function, based in Hong Kong.

THE ROLE

* Liaise with SFC and handle enquiries about license applications
* Complete the new compliance regular tasks and coordinate with different departments
* Establish and control the new compliance checking
* Monitor the trading patterns of the targeted SFC license representatives
* Develop compliance trail and responsible for documentation
* Identify and generate new potential compliance risks

REQUIREMENTS

* Bachelor Degree or above in Accounting, Economics, Finance, Law or relevant discipline
* A minimum of 3 years relevant experience in Securities companies or Investment Bank.
* SFC License experience is a must
* ACCA/HKICPA qualification preferred
* Hands on compliance review experience in brokerage, AML, staff dealings
* Independent, detail minded, able to manage multiple projects with good presentation and demonstration skills
* Good communication skills, fluent in both English and Mandarin

To apply please click on the "Apply" button or contact Steven Sin at Steven.Sin@jobs.hudson.com quoting ref no. HK142412. Your interest will be treated in strict confidence.
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Apply for Associate/Senior Associate, Regulatory Compliance
Reference: HK142412

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