Full Time

Compliance Officer/manager (Multiple headcounts)

Posted 4 weeks ago
Application ends: November 20, 2021
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Job Description

Job Responsibilities

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

Job Requirements

  • 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!