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Senior Compliance Consultant
Compliance Consulting LimitedHong Kong30+ days ago
Job descriptionUniversity graduate (preferably in Law or Accountancy), professionally qualified would be an advantage; At least 3 years' solid compliance experience in sizeable financial intermediaries or regulator; Familiar with the Securities and Futures Ordinance and Codes and Guidelines issued by the Securities and Futures Commission; Well organized, self-motivated and good interpersonal skill; and Good command of spoken and written English, Cantonese and Mandarin.
Compliance Consulting Limited was established in 2003, and is the first financial services consulting company in Hong Kong, offering regulatory and compliance advisory services to financial intermediaries. Our clients include brokerage houses, futures trading companies, corporate finance advisors, funds trading platforms, independent financial advisors, asset management companies and private equity firms.
Job Responsibilities
- Provide ongoing compliance advice to our retainer clients
- Assist client in handling on-boarding procedures, including performing AML / KYC related matters
- Handle enquiries from regulators e.g. SFC, HKMA and HKEx
- Handle corporate licensing applications
- Develop, maintain and implement compliance plans, manuals, policies and procedures for licensed corporations engaging in different regulated activities
- Develop compliance training materials
- Handle ad hoc tasks as assigned
Job Requirements
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Consultant • Hong Kong
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