Associate Director - Compliance Associate Director - Compliance …

Aston Carter Hong Kong
in Hong Kong
Permanent, Full time
Last application, 30 Jul 21
Competitive
Aston Carter Hong Kong
in Hong Kong
Permanent, Full time
Last application, 30 Jul 21
Competitive
Associate Director - Compliance
Duties
  • Manage and identify Compliance matter related to regional compliance
  • Responsible for efficiency and effectiveness evaluation and improvement and ensure current activities are in compliance with internal guidelines and external regulations.
  • Revise general operation's policies and procedures of company's compliance program
  • Monitor and coordinate other departments to make sure compliance of business activities to keep the status of all compliance activities and to identify trends.
  • Work with relevant frontline or mid/back departments to direct compliance issues to appropriate existing channels for investigation and resolution
  • Handle AML issues Requirements

Requirements
  • Bachelor's degree holder majoring in Law, Finance or any other related disciplines with at least 7 years solid working experience in financial services company
  • Familiar with conmplaince regulations, codes, guidelines and reporting requirements.
  • Good interpersonal skills with good communications skills & team spirits
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