CMB International Capital Corporation Limited
Hong Kong, Hong Kong
(on-site)
Posted
21 days ago
Job Function
Legal Support
Description
Responsibilities- Support the regulatory compliance function covering licensing and the regulated activities including the investment and insurance distribution activities and asset management
- Keep track of regulatory updates, establish and maintain regulatory register and identify gaps
- Assist to formulate the compliance program and conduct the compliance review
- Prepare compliance training materials
- Assist in end-to-end investigation on Clients' Complaints and self-escalated misconduct including the investigation report
- Assist in other compliance related tasks as assigned
Qualifications
- University degree
- At least 2 years or relevant experience in SFC licensed corporation
- Familiar with the SFC rules and regulations and industry practices
- Strong interpersonal and communication skills, self-motivated, responsible and fast paced work under pressure and meet tight deadlines
- Fluent in Mandarin, English and Cantonese
Job ID: 80556265
