Compliance Control Officer - Foreign Brokerage House

Compliance control officer role to cover trade surveillance, license handling, and advisory for this firm.

Your new company
Amongst one of the most internationally recognised brokerage firm in the world, this organisation is a market leader in the financial areas of brokerage services.

Your new role
Reporting to the Head of Compliance you’ll be responsible for surveillance monitoring and policy reviews. This is an all-round position with a focus on general compliance and regulatory compliance. You’ll be working within Control Team handling more control and licensing matter.

What you'll need to succeed
To ensure your success in this highly visible role, you will have:
  • Proven experience in a brokerage firm
  • The ability to liaise with key stakeholders within the organisation delivering ad hoc projects
  • Outstanding knowledge in SFC regulation

What you'll get in return
In return for your dedication and hard work, you’ll be rewarded with:
  • Competitive compensation package including a competitive performance-based bonus structure and consistent career development
  • Opportunities to work with a market leading team within the brokerage industry
  • Involvement in global projects

What you need to do now
Click ‘apply now’ if you are interested in this role. For further details or a confidential discussion on other opportunities in Compliance, please contact Erica Chong at Hays on +852 2230 7451 or email . At Hays, we value diversity and are passionate about placing people in a role where they can flourish and succeed. We actively encourage people from diverse backgrounds to apply. #1220392


Job Type
Banking & Financial Services
Banking and Financial Services

Talk to a consultant

Talk to Erica Chong, the specialist consultant managing this position, located in Hong Kong
6604-06,66/F, ICC, 1 Austin Road West, West Kowloon

Telephone: +85222307451