• Permanent, Full time
  • Randstad Hong Kong
  • 19 Jun 19

Compliance Associate, Control Room/PAD

  • Hong Kong
  • Competitive
  • Full time

Compliance Associate, Control Room/PAD

job description

about the company.
Our client is a foreign financial service which provides stock brokerage services as well as IBD business.

about the job.
  • Assist in testing and implementing various compliance related program and system such as Personal Account Dealing System and the Global Conflict Management system
  • Perform samples checking on e-mail activities
  • Develop and perform compliance monitoring program on the Bank's various activities
  • Maintaining PAD related data
  • Assist in performing and maintaining other compliance tasks including AML/KYC related matters


skills & experiences required.
  • Degree holder preferably in BBA or related disciplines
  • Minimum 2 years of experience in compliance, preferrably in Bank or SFC licensed corporation
  • Good understanding of operations of Investment Banks
  • Good knowledge of SFC regulations
  • Strong communication skills

To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Nicole Hui on + 852 2232 3421 or email: nicole.hui@randstad.com.hk

skills
Compliance Associate, Control Room, personal account dealing, PAD, conflict management, testing and monitoring

qualification
Compliance Associate, Control Room, personal account dealing, PAD, conflict management, testing and monitoring

responsibilities
Compliance Associate, Control Room/PAD

educational requirements
Bachelor Degree