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1 年前發布

Officer - Employee Compliance

Aptitude Asia

職位描述

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).

申請連結：

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

其他細節

職位空缺來源

eFinancialCareers

參考編號

20757607

發布日期

2024年04月11日

關鍵詞

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

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