Our client is a leading corporate and investment bank. They’re now looking for a Securities/ Broking Services Compliance professional to join them.
- Developing and enhancing compliance related policies and procedures as well as proper internal control to ensure that Company's activities (SFC regulated Type 1,2,4,9) are following the latest statutory and regulatory requirements
- Coordinating and advising on AML / KYC assessments
- Handling client’s complaints and handling regulators’ enquiries and investigations etc
- Handling licensing matters
- Minimum 5 years compliance experience gained in a Securities/ Asset Management firm
- Experience in handling SFC Type 1,2, 4 or 9 regulated activities