Overview
Assistant Director – Legal and Compliance Jobs in Yau Tsim Mong District, Hong Kong SAR at Webull Securities Limited
Title: Assistant Director – Legal and Compliance
Company: Webull Securities Limited
Location: Yau Tsim Mong District, Hong Kong SAR
Responsibilities
- Perform license applications, notifications, enquiries, complaints, surveys and maintain relevant records
- Perform transaction monitoring, trade surveillance, name screening and undertake investigations into any suspicious transactions reported
- Establish compliance monitoring programs and conduct regular reviews including staff dealing activities to identify potential compliance or internal control issues
- Perform AML/KYC and account opening reviews including customer due diligence and periodic reviews for retail and institutional client
- Advise on compliance with FATCA and CRS reporting matters
- Review marketing materials, client documentations and notices
- Conduct internal compliance trainings and maintain CPT records
- Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements
- Undertake various ad hoc compliance projects and initiatives as required from time to time
- Provide administrative support to the legal & compliance department by maintaining regulatory documentation, coordinating compliance activities, and ensuring accurate record-keeping to support regulatory adherence and reporting requirements
Requirements
- Degree holder in Business, Finance, Law or other related disciplines
- 4-6 years of legal and compliance experience in brokerage companies/regulator
- Proficiency in written and spoken English, Cantonese, and Putonghua is a must
- Excellent communication and presentation skills
- Proactive working attitude and a team player
- Responsible and able to work under pressure
- Immediately available is preferred
We offer competitive remuneration package & career prospects to the right candidate. Interest parties please apply with resume showing availability, current and expected salary by clicking “Apply".
