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Compliance Associate - Leading financial group - Up to 35K

Michael Page
Hong Kong, Hong Kong
Closing date
Dec 12, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
About Our Client
Our client is a leading financial group in China and Hong Kong that offers a wide range of cross-border financial services including brokerage and wealth management, corporate finance, asset management and investment management to corporate, institutional and retail clients in Hong Kong and overseas. They are looking for a Compliance Associate to join the group to support their compliance practices.

Job Description
  • Provide practical and accurate compliance advice to business such as Retail and Institutional Brokerage, Wealth Management, Research and Global Markets business
  • Assist and advise business stakeholders on AML/CFT related enquiries and matters
  • Assist and conduct internal investigation and draft conclusion report
  • Conduct periodic and ad hoc review of internal policies and procedures in light of evolving regulatory environment
  • Collaborate closely with internal stakeholders for implementation of compliance related projects
  • Handle regulatory requests, enquiries and examinations in a proper and timely manner
  • Deliver ongoing internal training to promote compliance culture as appropriate

The Successful Applicant
  • Degree holder in Law, Accounting, Finance, Business Administration or related discipline
  • Sound knowledge in rules and regulations administered by the SFC, compliance best practices, financial products as well as securities business
  • 3 years solid work experience in regulatory, AML or brokerage compliance preferably in Chinese financial institutions or regulatory bodies
  • Strong analytical skills with ability to make prompt and accurate recommendations
  • Self-motivated, able to work independently and collaboratively in a highly dynamic environment
  • Good command in both written and spoken English and Chinese

What's on Offer
  • Attractive remuneration package
  • Opportunity to build your career in a renowned financial group
  • Dynamic work environment
  • Prime working location

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