Compliance Officer - SFC
Location Hong KongFULL_TIME
Consultant Carmen Chin
Date posted 13 July 2022hong-kong banking-financial-services/compliance 2022-07-19 2022-09-11 banking Hong Kong HK Robert Walters https://www.robertwalters.com.hk https://www.robertwalters.com.hk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
Role Overview: The compliance officer will be responsible to carry out trade and communication surveillance as well as other general compliance responsibilities. This is a permanent role with a global financial services firm.
- carry out real time trade surveillance and surveillance of electronic communications
- perform post trade control in accordance to exchange rules
- keep abreast of regulatory changes and work with control team to advice and implement these changes with business operations
- work with head of compliance on regulatory advisory matters
- support licensing matters
- update regulatory and internal policies across Asia Pacific region
- conduct annual KYC reviews
- support client team on onboarding matters
- bachelor degree in related disciplines
- 2 - 5 years experience in compliance control functions in financial services companies
- experience in brokerage or trading environment will be an added advantage
- must read and write Chinese
- good business acumen
- work autonomously
- attention to details
- reliable and ability to cope with pressure
This is a global financial services company.
Salary: NegotiableLocation: Hong KongDate posted: 16 August 2022We are hiring for a top tier investment bank in their IT audit team.
Salary: NegotiableLocation: Hong KongDate posted: 12 August 2022Working in the risk modelling team you will be mainly looking after credit risk models development and validation strategies, risk models validation.
Salary: NegotiableLocation: Hong KongDate posted: 12 August 2022We are hiring for a growing private bank in their credit review and monitoring team responsible for credit monitoring, reporting, documentation and credit system management to support Asia Pac.
Salary: NegotiableLocation: Hong KongDate posted: 04 August 2022You'll be working in a team of internal audit professionals specialising the auditing sales and trading busienss.
Salary: NegotiableLocation: Hong KongDate posted: 04 August 2022You will be working in a dynamic regional team in the 1st line, preparing for credit proposals for approval for Banks, Insurances, Sovereign, Brokers, other non-banks financial institutions, pensions funds, funds, hedge funds, regulated funds, funds of hedge funds, agency arrangements and asset managers.