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IBD/Securities Compliance (Associate, AVP Level)

Be Myjob Company Limited Hong Kong
Posted 12 hours ago In-Office Permanent 30k - 50k
L
Posted by
Leslie Cheng
Recruiter

Responsibilities:

  • Reponsible for assisting the team to implement policies and procedures to ensure business activities comply with the rules and regulations.
  • To provide compliance advice to different corporate finance business unites and assist the compliance team to implement policies and procedures to ensure business activities comply with the rules and regulations.
  • To identify, resolve and escalate compliance risk on a timely manner.
  • To handle matters on AML, to implement controls over AML in order to comply with all relevant rules and regulations and market’s best practice.
  • To perform compliance monitoring over business activities and perform any compliance review if necessary and report to Deputy Head of Compliance


Requirements:

  • University degree in Finance / Risk Management / Business / Law or other related disciplines
  • At least 3 years’ experience in securities firm providing compliance & regulatory advices or 3 years experience in corporate finance businesses, covering IPO, ECM, DCM, M&A, Compliance Advisor and other Listing Rules/Takeover Code related transactions & capital raising activities.
  • Experience and knowledge in financial industry rules and regulations
  • Fluent in Mandarin and English
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