Junior Compliance Officer

Responsibilities

• Advise the Company on the internal & regulatory compliance issues relevant to the securities industry
• Ensure the Company complies with all laws, rules & regulations of the regulatory authorities
• Prepare & update Company Compliance Manuals
• Prepare training materials & arrange briefing sessions
• Review account opening documents
• Liaising with external regulators (including all necessary notifications & disclosures to the SFC & HKEX)
• Provide regular updates to Management & training to staff on changes in regulations & procedures
• Perform reviews on internal control system, operational procedures & related policies
• Review of legal documents
• Attend to ad hoc compliance or legal issues
  

Requirements

• Diploma in Law, Finance, Accounting or related discipline
• Experience in stock broking / financial services will be an advantage
• Experience interpreting the rules & regulations applicable to the securities industry
• Analytical, proactive, independent, strong analytical, problem solving, good interpersonal & communication skills
• Good command of written & spoken English & Chinese (Mandarin & Cantonese)
• Able to work independently with full responsibility & initiative in a pressured environment
• Fresh graduates looking for a career in financial industry are also welcome to apply
  

Interested candidates please send your detailed resume with your expected salary to hr@sanston.com & quote the above position & reference number as your email subject.