Assistant Compliance Manager | General Compliance ( Attractive Package ! ) Assistant Compliance Manager | General Compliance  …

Osmium Consulting Group
in Hong Kong
Permanent, Full time
Be the first to apply
Competative
Osmium Consulting Group
in Hong Kong
Permanent, Full time
Be the first to apply
Competative
Posted by:
Michael Cheuk • Recruiter
Posted by:
Michael Cheuk
Recruiter
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 ).

Responsibilities:

  • 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

Requirements:

  • 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 Michael CHEUK at 3898 5517 ( Whatsapp : +852 5227 8931) or by email michael.cheuk @ osmiumcg.com

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