A public-listed finance Group located in North Point is looking for a compliance officer for their securities and futures operations
Job requirements :
Ensuring the compliance policies are properly developed, monitored & complied with relevant regulations and legislation in respect of the regulated activities under the SFC license type 1, 2, 4, 5 & 9.
Liaising with regulators, auditors and legal counsel on compliance matters.
Handling enquiries from regulators or regulatory bodies.
Monitoring the internal control systems and able to assess the risk associated with it.
Monitoring the trading activities (securities, futures, stock options etc) to avoid the occurrence of irregularities.
Reviewing and updating compliance manual and operational procedural manuals
Degree holders in Accounting, Law or Finance or related disciplines.
Minimum 2 years legal and compliance experience in the financial services industry.
Good knowledge in SFO, Exchange rules, AMLO, relevant codes & regulations.
Good knowledge of the securities and futures market.
Strong sense of responsibility, and self-motivation.
Good communication and interpersonal skills.
Good command of written & spoken English and Chinese.
Immediately available is preferred.
Pls email to ada agsgroup.com.hk
Job TypeFull Time