Assistant Director
5 days ago
Assistant Director - Legal and Compliance Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements. Advise on compliance issues and potential impact of regulatory trends and developments. Provide practical compliance advice for business such as retail and institutional brokerage, global markets business. Perform license applications, notifications, enquiries, surveys and maintain relevant records. Perform trade surveillance and regular reviews to identify potential compliance or internal control issues. Establish compliance monitoring programs and undertake investigations into any suspicious transactions reported. Perform AML/KYC and account opening reviews including customer due diligence and periodic reviews etc. Review client documentations and marketing materials. Conduct internal compliance trainings and maintain CPT records. Provide compliance advice on new product development, systems and business initiatives relating to retail and institutional business. Implement adequate compliance controls to ensure stakeholders and business unit comply with applicable rules and regulations. Establish comprehensive compliance framework and update policies and procedures to ensure compliance with the regulatory requirements. Undertake various ad hoc compliance projects and initiatives as required from time to time. Requirements Degree holder in Business, Finance, Law or other related disciplines. Minimum 8 years of legal and compliance experience in brokerage companies/regulators. Proficiency in written and spoken English, Cantonese, and Putonghua is a must. Excellent communication and presentation skills. Proactive working attitude and a team player. Responsible and able to work under pressure. Immediately available is preferred. We offer competitive remuneration package & career prospects to the right candidate. Interest parties please apply with resume showing availability, current and expected salary. Webull Securities Limited ("Webull") is licensed with the Securities and Futures Commission of Hong Kong ("SFC") (CE No.: BNG700) for carrying out Type 1 License for Dealing in Securities, Type 2 License for Dealing in Futures Contracts and Type 4 License for Advising on Securities. For more information, please visit our company website #J-18808-Ljbffr
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Assistant to Director and CEO
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Assistant to Director
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Strategic Executive Assistant to Directors
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Personal Assistant to Executive Director
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