Posted on: 2019-03-13

Job type: Permanent

Sector: Financial Services

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Our client is a leading Japanese securities firm and they are looking to hiring a compliance associate - Control Room to join their HK office.

The Role:

The primary responsibility would lie on actively handling control room matters:

* Monitor and strengthen the control room operations process
* Coordinate MNPI/COI/Firewall reporting
* Advice on compliance issues to relevant parties
* Enforce the Japanese related regulations (i.e. MNPI, COI, Firewall) throughout the company
* Participate actively in Global Control Room Function
* Monitor and check staff dealin
* Communicate regularly with overseas office on MNPI/COI/Firewall matter
* Ensure the internal policies comply with local regulatory requirement
* Ensure the business and all procedures comply with regulation
* Participate in ad-hoc projects as required.


* University Bachelor Degree holder major in Law, Economics, A&F or any related disciplines. ; At least five years solid experience in Control room/Compliance/Finance/Banking industry
* Thorough understanding on rules and regulations, E.g. SFC's Code of Conducts, relevant circulars and the industry practices of HK licensed corporations on managing conflict of interest and internal control
* Strong interpersonal skills; Good team player; Independent, proactive, accurate, able to multi-taking, meet deadlines in a fast-paced business environment
* Proficiency in spoken and written Chinese (Cantonese and Mandarin) and English
* Proficiency in Microsoft Application (Word, Excel, PowerPoint, Outlook)
* Knowledge on Firewall Regulation Concept and familiar with HK regulatory issues is an advantage.


* Attractive Salary Package + Bonus
* Excellent career growth opportunities

To apply please click on the "Apply" button or contact Steven at quoting ref no. HK146738 for a confidential discussion. Your interest will be treated in strict confidence.
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Apply for Compliance Associate -Control Room
Reference: HK146738

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