Officer - Employee Compliance
Full time
at Aptitude Asia
in
Hong Kong
Posted on May 8, 2024
Job details
Job Responsibilities:
- Facilitate and monitor compliance with the firm's Code of Conduct and other core compliance policies.
- Review employee disclosures, personal account dealings, and gifts and entertainment requests to identify potential conflicts of interest.
- Serve as the primary point of contact for general compliance inquiries from employees.
- Assist with licensing, examination, and registration filings with regulatory authorities.
- Monitor compliance with applicable securities laws and prepare reports for senior management.
- Bachelor's degree with 5+ years of experience in the financial services sector, preferably in a licensing, employee compliance, and registration role.
- Exposure to gifts and entertainment is beneficial.
- Ethical and principled with strong integrity.
- Excellent analytical skills and attention to detail.
- Proficiency in English (Chinese language skills are a plus).
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