Compliance Officer
AGS Group
Hong Kong
7天前

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
  • Requirements :

  • 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

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