Senior Compliance Officer
Besteam Personnel Consultancy Limited
Kowloon
10天前

To establish, implement and monitor compliance policies, procedures and standards of Hong Kong operations

Provides consultation to local, overseas and China offices on SFO regulatory and compliance issues

To ensure that daily operations comply with Hong Kong SFC and / or other regulatory requirements in different markets

To handle enquiries from Regulators

Perform and review regular compliance checking

Organize / provide CPT training to SFC license holders

Assists Department Head to supervise team members

  • Degree holder in Law, Finance, Accounting, Business or related discipline(s).
  • Minimum 5 years' solid relevant experience in securities brokerage firm or fund house or investment bank or sizable financial institutional
  • 3 years' experience in CPA firm preferred
  • Familiar with SFO and HKEX rules in securities, futures and corporate finance as well as the operations, products and services in licensed corporations
  • A good team player, quick learner, self-motivated, strong sense of responsibility and discipline with good communication skills
  • Good command of written and spoken English and Mandarin
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