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1 年前发布

Officer - Employee Compliance

Aptitude Asia

职位描述

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).

申请连结：

https://www.efinancialcareers.hk/jobs-Hong_Kong-Hong_Kong-Officer_-_Employee_Compliance.id20757607?utm_campaign=JS_HK_ALL_JOBS&utm_source=APAC_HK_ENG&utm_medium=FEED_PART_HK_TALENT_GOV

其他细节

职位空缺来源

eFinancialCareers

参考编号

20757607

发布日期

2024年04月11日

关键词

Compliance/Legal, Compliance Regulatory, Other, Asset Management, Compliance

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