Everbright Securities International

At Everbright Securities International, we serve with professional integrity. More than a claim, this describes the way we do business. As an international business platform of Everbright Securities Company Limited (SSE: 601788, HKEX: 6178), our Company is engaged in five key businesses: Wealth Management, Corporate Finance & Capital Markets, Institutional Business, Asset Management, and Investment & Financing, serving individuals, corporations and institutions in Hong Kong, Macau, Mainland China and the U.K.

Operating under the “Everbright Securities International” brand and business brand “EBSI Wealth”, complemented with service brands namely “EBSI Private”, “EBSI Direct” and “EBSI Forex”, our Company is a full-fledged financial platform providing excellent global financial products and services.

Our all-rounded product and service suite, and our solid track record of delivering a steady return on equity while being committed to staff development, present enormous prospects for talents.

Ref: Asso/211124CT/51

Responsibilities

Assist in gathering the latest regulatory requirements to prepare compliance reminders and training materials that promote compliance awareness

Handle license applications, monitor the approval process and maintain related documentation

Monitor the completion of required CPT/CPD hours for licensed staff and coordinate for the submission of Annual Returns/ Declarations

Conduct compliance monitoring reviews, ensure that they are in compliance with internal policies and procedures

Handle staff declarations in relation to Personal Account Trading, Outside Engagement, Gift and Entertainment and Annual Declarations

Perform general administrative work as assigned by supervisor

Requirements

University degree in Accounting, Business, Law or related discipline

2-3 years solid experience in compliance, audit or related field in financial services sector or with regulatory authorities is highly preferred

Experience in handling license applications is an added advantage

Strong ethics, integrity and enthusiasm

Good team player, interpersonal, analytical and presentation skills

Good command of written and spoken English and Chinese. Fluency in Putonghua is an advantage

Candidates with less experience will be considered as Analyst, Compliance or Senior Analyst, Compliance

Full-time