Compliance Associate / Senior Associate - Securities Firm

Salary
HK$30000 - HK$50000 per month
Location
Hong Kong
Type
Permanent
Workplace
On-site
Published
Jun 14, 2024
Ref
BBBH149213_1718351045
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Responsibilities:

  • Providing compliance advice to front line business and provide solutions in a timely manner
  • Conduct regular reviews and assessments of regulatory requirements, ensuring compliance with SFC rules and guidelines.
  • Develop and implement compliance programs, policies, and procedures to mitigate risks and maintain a strong compliance culture.
  • Handling all rounded FCC/AML duties and ensure compliance with SFC and HKEX rules and regulations
  • Monitor and analyze regulatory changes, and provide guidance to the management team on the impact of new regulations.
  • Collaborate with various departments to provide compliance training and support to employees, ensuring a thorough understanding of compliance obligations.
  • Review and approve marketing materials, client communications, and other relevant documents to ensure compliance with regulatory standards.

Requirements:

  • 5+ years of experience in compliance within the securities industry, preferably with exposure to both retail and institutional clients.
  • Strong knowledge of SFC regulations and guidelines.
  • Fluent in Cantonese, English, and Mandarin
  • Candidates with less experience will be considered for the Associate position.

Our client offers excellent remuneration package to the right candidate. Interested parties please kindly reach out to Eunice Lee at 3907 0744 / e.lee@gravitasgroup.com for a confidential discussion.

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