Legal Business network: Asia, Australia, China, Middle East
Compliance Officer

Our client is an international interdealer brokerage house, covering a wide range of equities, derivatives as well as a wide range of financial products. 

                             

About the Job

  • Maintain an effective compliance and control system within the Company
  • Able to provide constructive compliance solution and advice
  • Review and draft legal documentation, procedures and control guidelines
  • Identify any key compliance risks, measures and perform AML surveillance compliance checking
  • Administrate all functional documentation and crucial / statutory records of the Company
  • Handle license affairs, disclosure information replies and assist in CPT trainings

 

Who we are looking for

  • 5 years compliance experience
  • Hands on experience in drafting rules and policies
  • Well versed in SFC requirements and other related legal requirements
  • With legal background will be a definite advantage
  • University Degree in Law/Finance/ Accounting
  • Fluency in written and spoken English, preferably with Chinese skills

 

In the first instance please send your CV to k.sham@cmlor.com or call Kenneth Sham, our senior associate, on +852 2836 6382 for a confidential discussion.

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KS2012011004
In-house
Permanent
+852 2836 6382
Confidential enquiry to ask for further details
Send me a copy of this application
CML Recruitment
In-house
Compliance
5 year(s)
Permanent
Not specified
Hong Kong , Hong Kong
Hong Kong
KS2012011004
About CML Recruitment
Location: CML's Asia operation is located in Hong Kong, Asia's world city. Opened in February 2009, we specialize in accounting and legal recruitment throughout the APAC region. We also have offices in the Cayman Islands and Bermuda.

Clients: CML recruits for all the major law and financial services firms in Asia. Several major firms have selected CML as their preferred supplier for recruitment services. By formal agreement, these firms keep CML notified of all current job vacancies and will consider our candidates first. This arrangement gives CML registered candidates a major advantage over their competition.

Service: At CML we pride ourselves on offering the most professional recruitment service around. We are constantly striving to make the recruitment and relocation process easier for both candidates and clients. Our personalized service includes briefing you before each interview, negotiating on your behalf, assisting with the preparation of your work permit application, and where necessary, assisting you with the logistics of relocation.

Expertise: Each CML consultant has extensive training in recruitment and negotiation, knowledge of the current market, and a thorough understanding of the profession that is his or her area of focus. By taking the time to understand your personal and professional goals, your consultant will know which companies and locations will be best suited to you. Your CML consultant will save you time by researching job opportunities and arranging interviews on your behalf.

Resources: CML has a team of people interacting with our clients and researching job openings on a daily basis. Your CML consultant has access to a databank of job openings for each jurisdiction. As a result, he or she will be able to present you with the best opportunities available, based on your work experience and qualifications. Your CML consultant is also up-to-date on the current salary ranges and benefit packages being offered. When you have gone through the interview process and are ready to commit to a position, you can do so with confidence, knowing that it is an informed decision.