Compliance Officer
7 days ago
Job Title: Compliance Officer - Securities Brokerage
About Classy Wheeler Limited
Classy Wheeler Limited is a renowned listed securities brokerage company seeking a Compliance Officer to join their team in Hong Kong.
Key Responsibilities
- Policy Management
- Ensure company policies, internal control procedures, and manuals are up-to-date with regulatory requirements and monitor adherence to these policies.
Training and Development
- Compliance Training
- Provide staff training related to compliance guidelines and requirements.
Regulatory Liaison
- Regulatory Compliance
- Liaise with regulatory bodies for any inquiries and requests.
Consultation and Support
- Compliance Consultation
- Assist in consultation raised by the operation team relating to compliance issues, including due diligence and AML/PDD/KYC suitability policy.
Regulatory Awareness
- Regulatory Updates
- Keep abreast of new regulatory requirements published by regulatory bodies.
Requirements
- Education
- Degree in Law, Finance, or related disciplines.
Experience
- Professional Experience
- At least 3 years of relevant experience in the financial industry (securities firm preferred).
Skills and Qualifications
- Regulatory Knowledge
- Good knowledge of regulatory codes and guidelines.
Personal Qualities
- Attention to Detail
- Detail-oriented, mature, and able to work independently.
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