Our client is a leading brokerage house with a strong presence in Asia Pacific. The company is committed to provide professional services to institutional, private and retails clients in the trading of securities in Hong Kong.

Job Description:

• Monitor and maintain an effective compliance and control system within the company and the Group
• Formulate and review compliance policies and procedures including writing up operations and compliance manuals for securities dealing and prevention of money laundering
• Assist management in providing advisory services to business and operation units on compliance related matters
• Coordinate and liaise with regulatory authorities for regulatory enquiries, reporting, inspection or investigation
• Handle corporate and staff licensing matters

 Job Requirements:

• Minimum 5 years of relevant experience in compliance is preferred
• Good working knowledge of securities areas
• Experience of dealing with regulatory authorities
• Familiar with SFO and regulations and guidelines issued by SFC
• Mature, self-motivated, independent, responsible and team player
• Excellent spoken and written English and Chinese
• Good communication skills and interpersonal skills

Interested applicants should send a detailed resume to Joyce Lee by email to jlee@ric.com.hk or by fax to (852) 2838 3323 quoting reference eFC1380.

(Applicants not contacted within 4 weeks should consider their application unsuccessful.)