Senior Associate/Associate- Compliance and Legal Affairs Department

3 days ago

Hong Kong Island, Hong Kong SAR China Yue Xiu Securities Holdings Limited Full time

Senior Associate/Associate- Compliance and Legal Affairs Department We offer attractive remuneration package, 5-day work, competitive fringe benefits (wedding leave, body check, group medical insurance, dental insurance etc.) and excellent career development opportunity to the right candidate. Responsibilities Handle SFC licensing application and CPT records; Reviewing and drafting of internal procedures & policies; Provide constructive compliance solution and advice to Types 1,4,6,9 businesses; Monitoring & surveillance of clients’ trading activities and anti-money laundering; Assist in handling SFC inquiries related to s.181 & s.182; Participate in any ad-hoc projects and internal investigation(s) and drafting reports in Chinese; Fostering strong relationships with other front and back office functions to optimize efficiency. General Knowledge of FATCA and CRS; Other tasks assigned by Head of Compliance. Requirements Degree holder in Law / Finance or related disciplines; At least 3-5 years compliance experience in the financial services industry or with regulatory bodies; Good knowledge of SFC regulations / guidelines and market practices; Good command of written and spoken English and Chinese (including Putonghua); Ability to work independently and under pressure; Less experienced candidates will be hired as Associate. Interested parties please send CV, to the Human Resources Department by clicking "Apply Now". Applicants not invited for interviews within six weeks may consider their applications unsuccessful. Our Company is an equal opportunity employer. Personal data collected will be used for recruitment purpose only. All information provided will be treated confidentially. Yue Xiu Securities Holdings is a subsidiary of Yue Xiu Group, one of the largest state-owned enterprises in Guangzhou. There are four Hong Kong-listed companies under the Group, namely Yue Xiu Property (00123.HK), Yue Xiu Transport Infrastructure Limited (01052.HK), Yue Xiu Real Estate Investment Trust (00405.HK), and Chong Hing Bank Limited (01111.HK). Established in 1994, our Company is one of the Chinese financial institutions who have been the pioneers participating in the Hong Kong financial market. As a leading consolidated financial institution, we provide a wide range of financial services including equities trading, futures trading, asset management and capital markets. #J-18808-Ljbffr

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