Vice President - Tsim Sha Tsui, Yau Tsim Mong District

Job summary

Perform license applications, notifications, enquiries, complaints, surveys and maintain relevant records to establish compliance monitoring programs and conduct regular reviews including staff dealing activities to identify potential compliance or internal control issues.

Responsibilities

• Perform transaction monitoring, trade surveillance, name screening and undertake investigations into any suspicious transactions reported
• Advise on compliance with FATCA and CRS reporting matters
• Review marketing materials, client documentations and notices
• Maintain regulatory documentation coordinating compliance activities ensuring accurate record-keeping to support regulatory adherence and reporting requirements
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  • Degree holder in Business Finance Law or other related disciplines
  • Cantonese Putonghua proficiency is required Excellent communication presentation skills Proactive working attitude team player Responsible under pressure Immediately available preferred

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  职位描述

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