University graduates preferably with major in law / business / accounting or related discipline
Minimum 2 years’ relevant experience in experience in the legal / compliance / AML function, experience from securities/ investment/asset management
Proficient in Microsoft Office, particularly in Excel and Word would be an advantage; knowledge in macros is a plus
Basic knowledge of current financial market situation or financial product would be an advantage
KEY RESPONSIBILITIES
Perform and manage regulatory and general compliance issues, such as licensing, personal account dealing, compliance training and other reporting and filing to regulators
Assist in developing a risk-based compliance review program and perform compliance checking of adherence to internal and regulatory requirements
Assist in reviewing business processes, product due diligence, KYC/CDD documents, marketing materials and other legal or compliance documentation
Report any key findings to senior members and assist in the preparation of due diligence report or other deliverables
Assist with the maintenance of policies and procedures, update various compliance control registers and conduct industry research and regulatory gap analysis related to changing regulatory landscape
Support with regulatory, audit, and similar queries and inspections
Perform ad hoc projects assigned by management from time to time
Interested parties, please forward your full and detailed cv in a MS WORD format to: [email redacted, apply via Company website]
Full-time,Permanent
举报职位
