- Assist in managing HK regulatory licensing related matters staff application and collection of supporting documents, form completion, processing annual return, requisite filings, notifications to staff and maintaining relevant licensing / personnel records and communications
- Assist in coordinating new hire and ongoing trainings and maintain employee Continuous professional training records
- Assist in managing a number of core compliance functions including new staff dealing account approval; assigning compliance orientation training; record keeping of staff dealing confirmations and deal review and etc.
- Assist in conducting investigation into any violations of the rules, regulations and firm's policy and procedures
- Assist in carrying out the monitoring and surveillance of the stock trading activities
- Assist in special assignment, project coordination and implementation of new policies as assigned
- Assist in coordinating and liaising with regulatory authorities for regulatory enquiries, reporting, inspection or investigation; assist in coordinating action items in relation to new regulatory initiatives and requirements
- Assist in preparing regular risk report to management
- years' experience in compliance or internal control in the securities industry ideally gained from a major US or European investment bank or comparable experience in consultancy, audit for financial services.
- Good knowledge of financial markets and be ready to learn
- Good analytical and communication skills
- Ability to work in a small team and be ready to carry out administrative tasks
- Proficiency in MS Office including PowerPoint and Excel
- Self-motivated and innovative
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Compliance - Associate - Hong Kong, 香港 - Jefferies
描述
Responsibilities:
Requirements:
