Job Description
Responsibilities:
Assist in managing HK regulatory licensing related matters staff application and collection of supporting documents, form completion, processing annual return, requisite filings, notifications to staff and maintaining relevant licensing / personnel records and communicationsAssist in coordinating new hire and ongoing trainings and maintain employee Continuous professional training recordsAssist in managing a number of core compliance functions including new staff dealing account approval; assigning compliance orientation training; record keeping of staff dealing confirmations and deal review and etc.Assist in conducting investigation into any violations of the rules, regulations and firm's policy and proceduresAssist in carrying out the monitoring and surveillance of the stock trading activitiesAssist in special assignment, project coordination and implementation of new policies as assignedAssist ...