Senior Officer/Officer -Legal & Com...
Besteam Personnel Consultancy Limited
Kowloon
9天前
  • Overseeing and monitoring the regulatory, compliance, operational risk;
  • Coordinate and liaise with regulators / authorities such as SFC and handle their enquiries and / or investigations;
  • Develop, implement and conduct training on AML, regulatory and compliance matters;
  • Handle licensing applications or licensing related matters;
  • Ensure the Company and its staffs comply with external and internal up-to-date compliance policies;
  • Handle ad hoc projects and assignments.

  • Degree Holder in Law, Finance, Accounting or related disciplines;
  • With at least 3 years working experience in brokerage firms or financial institutions;
  • Familiar with SFO, its subsidiary rules and other SFC codes and guidelines;
  • Good spoken and written in English and Chinese, Mandarin is an advantage.

    Candidates with less experience will be considered as Officer- Legal and Compliance

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