Compliance Officer (Futures)

Responsibilities:

▪ Assist Responsible Officer to review all policies and procedures to ensure compliance with regulatory and company policies

▪ Handle statutory reporting, licensing applications and inquiries from regulatory bodies and handle ad hoc compliance project or investigation when required

▪ Handle and coordinate AML related tasks within the team to ensure effective implementation of procedures

▪ Keep abreast of the latest developments and regulatory requirements (e.g. SFC)

▪ Perform regular compliance assessment and conduct incidents investigations

Requirement:

▪ Degree holder in Law, Finance, Accounting or equivalent prefer

▪ Minimum 1 years relevant experience

▪ Familiar with SFO and other relevant regulatory requirements

▪ Knowledgeable of Microsoft software (Word, Excel, PowerPoint) and Chinese word processing

▪ Good interpersonal and communication skills with good written and spoken English and Chinese, proficiency in Mandarin would be a definite advantage

Information :

• Company : Da Yue Futures Co., Limited
• Position : Compliance Officer (Futures)
• Location : Central and Western Distr., Hong Kong Island
• Country : HK