Compliance Officer Compliance Officer …

Pacific Focus
in Hong Kong
Permanent, Full time
Last application, 10 Jun 21
Attractive Package + Bonus
Pacific Focus
in Hong Kong
Permanent, Full time
Last application, 10 Jun 21
Attractive Package + Bonus
Posted by:
Rachel Chan • Manager - Financial Services Recruitment
Posted by:
Rachel Chan
Manager - Financial Services Recruitment
An international brokerage firm is looking for around 10 years' experienced candidate to cover APAC Compliance Control function.

Responsibilities

  • Performing real time and post trade Control via trade / order surveillance system
  • Performing surveillance of electronic communications and escalating to Senior Control Officers where appropriate
  • Working as a member of a team undertaking desk reviews, recording of findings and discussing such findings with the APAC Head Compliance and, when required, taking remedial or other follow-up action
  • Performing real and post trade Control of compliance with relevant Exchange rules
  • Executing ad hoc work, investigations and project issues as required
  • Remaining informed of changes to the regulatory environment and in conjunction with the Control Team
  • Fulfil additional / ad hoc duties as required to meet the needs of the business
  • Covering senior members of staff who are more actively involved in the integration project of the Group
  • Provide input to the compliance committee as directed by the compliance officer
  • Perform registration services for individual and corporate licence registration as required
  • File recurring annual reports as required
  • Assist with registration processes as required

 

Requirements

  • Previous practical experience gained working in a Control function within a Financial Services firm (essential)
  • Experience of working in a broking/trading capacity (desirable)
  • Delivering Business Success – Desiring Quality - pays attention to detail, checks own work for accuracy and quality and takes personal responsibility for achieving quality standards. Sets own goals and targets which improve upon previous performance and constantly strive to exceed existing quality and service standards
  • Working With People – Networking - Works towards building a strong internal and external network by identifying opportunities to meet, and develop or maintain rapport with clients and colleagues both within work related and in informal or social circumstances
  • Providing Direction – Thinking Strategically – Understands own business’ targets and goals and fully understands the competitive context in which it operates and looks for ways to add value to the organisation. Periodically steps back from immediate operational concerns to check progress against broader goals and their fit with the organisation’s strategic objectives
  • Leading – Creating Synergies - demonstrates a positive attitude towards working with others and a willingness to move out of their ‘comfort zone’ to gain a clear vision of overall business goals so as an individual they can understand how their tasks contribute to the overall business strategy
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