Join the Group’s compliance team designated for business units engaged in Types 1, 4, and 9 regulated activities
- Prepare license applications and notifications for licensed representatives
- Carry out regular monitoring of client onboarding and trading activities to identify potential non-compliance incidents and irregularities for further investigation and filing of suspicious reports
- Review error incidents and customer complaints to identify underlying problems
- Handle regulatory enquiries, inspections and investigations
- Perform other ad hoc projects as assigned
- Hold a university degree, post-secondary diploma or professional qualification, preferably in finance / accounting / business / legal discipline
- Mature, responsible and attentive to details
- With good communication and interpersonal skills
- Less than 1 year compliance experience is also welcome
- Experienced candidate would be considered as Assistant Compliance Manager/Compliance Manager.
Interested to know more? “APPLY NOW” below or send your CV directly to Steven.Sin@hudson.com for a confidential discussion!