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Published 1 year ago

Officer - Employee Compliance

Aptitude Asia

Job Description

Job Responsibilities:

  • Facilitate and monitor compliance with the firm's Code of Conduct and other core compliance policies.
  • Review employee disclosures, personal account dealings, and gifts and entertainment requests to identify potential conflicts of interest.
  • Serve as the primary point of contact for general compliance inquiries from employees.
  • Assist with licensing, examination, and registration filings with regulatory authorities.
  • Monitor compliance with applicable securities laws and prepare reports for senior management.

Job Requirements:

  • Bachelor's degree with 5+ years of experience in the financial services sector, preferably in a licensing, employee compliance, and registration role.
  • Exposure to gifts and entertainment is beneficial.
  • Ethical and principled with strong integrity.
  • Excellent analytical skills and attention to detail.
  • Proficiency in English (Chinese language skills are a plus).

Job Particulars

Job source
eFinancialCareers
Job reference
20757607
Date published
11 Apr 2024
Job keywords
Compliance/Legal, Compliance Regulatory, Other, Asset Management, Compliance
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