JobsDB – Hong Kong's no. 1 jobs, employment, career and recruitment site JobsDB Login For employers Job search Profile Career advice Search Jobs Associate / Senior Associate, Compliance China Everbright Securities International Company Limited Causeway Bay Posted on 20-Feb-23 Apply Now Apply Now Associate / Senior Associate, Compliance China Everbright Securities International Company Limited Apply Now Job Highlights Minimum 2 years solid experience in compliance Assist in conducting compliance monitoring/review Central compliance Job Description Ref: Asso_Sr Asso/200223DB/51 Responsibilities Assist in retrieving the latest legal and regulatory requirements and prepare necessary compliance reminders or compliance training materials for promoting compliance awareness and compliance culture Handle licence applications and notifications for both corporate and individual level and related enquiries Monitor licence approval progress and keep licensee updated once their licences are approved, records keeping of licence-related documentation including update of internal SFC Licence Report Ongoing monitoring of licensed staff on completion of required CPT/CPD hours before end of each calendar year and coordination of completion of Annual Returns Assist in conducting compliance monitoring/reviews and escalate any non-compliance issues in accordance with procedures and suggest remedial and/or compliance improvement plan to senior Compliance staff Assist in drafting of and reviewing Compliance policies and procedures and ensure compliance with applicable internal, legal and regulatory requirements Handle staff declarations in relation to Personal Account Trading, Outside Directorship/ Interest/ Activity, Gift and Entertainment and Annual Declarations Assist in handling Anti-Fraud enquiries Assist in arranging meetings with business, operations and other support departments/units, auditors and regulatory authorities to discuss compliance related matters/issues Perform general administrative work Requirements University degree in Accounting, Business, Law or related discipline With minimum 2 years' solid experience in compliance, audit or related field in the financial services sector or with regulatory authorities Experience in handling license applications for both corporate and individual level; Experience in performing compliance or similar training, development of policies and procedures (and related guidelines), and the conduct of compliance review and investigations Sound working knowledge of SFO and subsidiary rules and regulatory requirements; and other regulations which relevant to EBSI’s business activities Strong ethics, integrity and enthusiasm Good team player, interpersonal, analytical and presentation skills Good command of written and spoken English and Chinese. Fluency in Putonghua is an advantage Additional Information Qualification Degree Years of Experience 2 years Job Type Full Time, Permanent Job Functions Banking / Finance , Financial Services , Professional Services , Legal & Compliance Company Overview Everbright Securities International At Everbright Securities International, we serve with professionalism and integrity. More than a claim, this describes the way we do business.As a leading financial services institution and an international business platform of Everbright Securities Company Limited (SSE: 601788, HKEX: 6178), Everbright Securities International offers a full-fledged financial platform that provides excellent world-classfinancial products and superior solutions for our clients. With a solid foundation and history of excellence since 1969, we operate five key businesses, Wealth Management, Corporate Finance & Capital Markets, Institutional Business, Asset Management, and Investment& Financing, serving individual, corporate and institutional clients in Hong Kong, Macau, Mainland China and the U.K. Our all rounded product and service suite, and our solid track record of delivering a steady return on equity while being committed to staffdevelopment, present enormous prospects for talents. Additional Company Information Industry Financial Services Benefits & Others Dental insurance, Life insurance, Medical insurance, Performance bonus, Five-day work week More jobs from this employer Report this job ad Job seekers Browse jobs Post resumes Job alerts Profile Career insights Employers Post a job ad Search candidates Advertise with us Best companies About JobsDB About us Career@SEEK Asia (JobsDB) Contact Contact us FAQ Hong Kong Privacy statement Terms & conditions Copyright © 1998-2023, JobsDB.