Haitong International Securities Group Limited (“Haitong International”: Stock Code: 665.HK) is a subsidiary of Haitong Securities Co., Ltd. (“Haitong Securities” Stock Code: 600837.SH; 6837.HK), one of the leading securities companies in China. Haitong International is well-established to provide comprehensive and quality corporate finance, wealth management, asset management, fixed income, currency and commodities (FICC), institutional equities and a full spectrum of financial products and services to institutional clients and individual investors domestically and around the globe.
- Interact with compliance surveillance section to control compliance of business units and departments;
- Conduct surveillance and enhance internal control to meet regulator’s expectation, to follow up with internal and external auditors’ recommendation and to align the practice with the Group’s standard;
- Assist to handle the Group’s client onboarding, ongoing due diligence, suitability and selling practice related matters with a few part of other regulatory matters in ordinary course of business;
- Assist with vetting services on various compliance related documents for the Group;
- Assist in setting up of Group’s compliance policies and monitoring the Group’s compliance with applicable rules and regulations;
- Perform any other duties as assigned from time to time.
- University graduate in Management, Accounting, Finance, or any related disciplines;
- Positive attitude, eager to learn and detailed-oriented;
- Demonstrate an interest in the regulatory requirement and process control;
- Good PC knowledge in MS Words, Excel and PowerPoint;
- Good team working and communication & interpersonal skills;
- Good Chinese & English typing skills;
- Good command of spoken and written English and Chinese, including fluency in Putonghua;
- Hong Kong Permanent Resident;
- Fresh Graduates are welcome (including 2020 graduates).