Opportunity to work in one of the largest brokerage firms in Asia. They are now looking for a general compliance specialist for their Assistant Manager position ( with attractive package ).
- To establish, implement and monitor compliance policies, procedures and standards of Hong Kong operation
- 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
Please contact Charlton LAM at 3898 5566 or by email charlton.lam @ osmiumcg.com