Compliance Associate - Securities Firm
Role Overview: The compliance associate will report into head of legal and compliance to carry out compliance responsibilities such as KYC/CDD, regulatory updates, surveillance monitoring, licensing, and other related tasks. This is a permanent role with supportive manager and attractive benefits.
- be point of contact for regulators
- handle all general licensing matters such as applications, de-registrations and alerts
- help maintain and update internal policies and procedures according to SFC guidelines and business requirements
- carry out KYC, CDD and AML related screen for new clients and periodic reviews
- perform communication monitoring
- keep track and update CPT records
- prepare compliance reports and self assessments
- take minutes and prepare agenda for management meetings
- handle ad hoc related tasks
- bachelor degree in related disciplines
- minimum 2 years of compliance experience in securities industry or SFC regulators
- good knowledge in SFC and SFO guidelines
- good spoken English and Cantonese (ability to read and write Chinese)
- strong analytical skills
- attention to details
This is a leading global securities firm.
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