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About our company As wealth consultants, we help high net worth individuals sourcefor customised solutions to meet their requirements and specific goals. We work closely with our strategic alliancesand major financial institutions to offer a comprehensive suite of solutionsfor our clients. We strongly believe in building long term relationships with ourclients that will grow over time and helping them attain more success in life. Job Function: Compliance Rank: Assistant Managerand above Type ofemployment: Part time Period: 1 Year Job responsibilities Law and regulation Assessing and responding to the relevant legal, regulations andstatutory changes and advising management on the relevant rectification Liaising and coordinating with professions, e.g. lawyers and relevantauthorities, to ensure that the Company is compliant with all relevant legal, regulatoryand statutory requirements Advising on licensing requirement of the company and relevantstaffs Company Policies and Procedures Developing, updating and implementing compliance policies andprocedures in accordance to the current rules and regulations and ensuring thatthe business is compliant in all aspects Developing, updating and implementing the policies and procedureson due diligence and background check (e.g. Know Your Customers KYC, and etc)and anti-money laundering (AML) Developing, reviewing and delivering compliance training toemployees and independent contractors Investigating and handle actual and potential compliance breachesand reporting all compliance issues and breaches (e.g. suspicious transactions)to management Providing compliance advisory support to internal staffs Reviewing product launches, disclosures and sales literature Developing and implementing data protection policies andprocedures Maintaining company’s policies and procedure database Internal Auditing and Controls Developing, updating,implementing audit program and internal control policy and procedures Conducting periodicindependent compliance / audit checks and highlight inadequacies and weakness to management Client complaints handling Handling client disputes and legal claims Conducting investigations into client complaints Ensuring complaints are recorded and responded to withinregulatory guidelines Preferred Qualification Ability to work under pressure Adaptive Analytical Bachelor degree holders Committed Flexible Fluent in communicating withstakeholders in spoken and written English and Chinese Follow through until objectives are met Good communication and interpersonalskills Good problem-solving skills Good team player Good telephone etiquette High level of Integrity High standard of business ethics Independent Meticulous Organized Pleasant Positive attitude Proactive Proficient in Microsoft Office Resourceful Responsible Responsive Self-motivated Strong sense of urgency Tactful Take ownership of problems and solvethe problems Tenacious Trustworthy We invite all interested and qualifiedcandidates to apply for this employment opportunity. Please send your detailed resume with a recent photograph to our Director at [email protected] today. We apologise that onlyshortlisted candidates will be notified. We offer a competitive reward package and flexible workingarrangements.
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