Compliance Officer - SFC
Role Overview: The compliance officer will be responsible to carry out trade and communication surveillance as well as other general compliance responsibilities. This is a permanent role with a global financial services firm.
- carry out real time trade surveillance and surveillance of electronic communications
- perform post trade control in accordance to exchange rules
- keep abreast of regulatory changes and work with control team to advice and implement these changes with business operations
- work with head of compliance on regulatory advisory matters
- support licensing matters
- update regulatory and internal policies across Asia Pacific region
- conduct annual KYC reviews
- support client team on onboarding matters
- bachelor degree in related disciplines
- 2 - 5 years experience in compliance control functions in financial services companies
- experience in brokerage or trading environment will be an added advantage
- must read and write Chinese
- good business acumen
- work autonomously
- attention to details
- reliable and ability to cope with pressure
This is a global financial services company.
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