We are currently hiring a compliance officer for a boutique investment bank to ensure that our client complies within legal and regulatory requirements.
Function Profile:
- Ensuring the Firm conducts its business all times in accordance with the terms of its regulatory authorization and the relevant provisions of the codes, guidelines and regulations issued by the SFC from time to time;
- Establishing, documenting and implementing compliance policies, procedures and standard documentation;
- Maintaining effective liaison with all relevant regulators and staying abreast of regulatory developments;
- Ensuring fulfillment of all filing and reporting to the SFC;
- Maintenance of the internal registers and other records required by the SFC;
- Delivering advice and training to relevant staff and management on policies and procedures and regulatory changes;
- Reviewing regularly the client profiles, trading reports, settlement reports or any other documents or records for the purpose of verifying customers’ compliance and ascertaining whether any sales or trading irregularities have taken place;
- Reporting to management in relation to the status of compliance and potential breaches;
- Investigating and then reporting any breaches to the Board; and
- Undertaking adhoc projects under the guidance of the Group Compliance Officer.
Candidate Profile:
- University graduates of relevant disciplines with at least 3 years working experience in corporate finance, investment banking or a related field
- knowledge of the securities industry and its practices
- Strong interpersonal and presentation skills
- Good command of both spoken and written English and Chinese
- Enthusiastic and a good team player
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