Associate, Compliance (Ref: 09864-CPLAS-JDB)

KGI Hong Kong Limited; Hong Kong; On-site; HKD 300,000 - 420,000; Full time

Job summary

KGI Hong Kong Limited is seeking an Associate, Compliance to support regulatory licensing, reporting, and responses to regulator enquiries across the firm’s compliance function.

The role involves assisting in monitoring activities, providing AML and general compliance guidance, and delivering administrative support. Proficiency in English and Chinese is required, with 2 years of relevant experience; candidates with less experience may be considered for Analyst.

Qualifications

• Degree holder in Law, Finance, Accounting, Business or related discipline.
• Proficiency in written and spoken English and Chinese.
• Minimum 2 years of relevant working experience.
• Mature, self-motivated with strong sense of responsibility.
• Independent, enthusiastic, accountable and able to work under pressure.
• Candidate with less experience will be considered for the position of Analyst.

Responsibilities

• Handle regulatory license applications
• Handle regulatory reporting
• Assist in responding to regulator enquiries
• Support compliance reviewing and monitoring activities
• Provide AML and general compliance advice
• Provide general compliance and administrative support

Skills

English

Chinese

Education

Degree in Law/Finance/Accounting/Business

Job description

Associate, Compliance (Ref: 09864-CPLAS-JDB)

KGI* has been a leading financial institution in Asia since 1997. Our scope of business encompasses Wealth Management, Global Markets, Asset Management and Global Sales & Prime Services. We are committed to offering a comprehensive range of financial products and services to corporate, institutional, and individual clients throughout Asia. Backed by KGI Financial Group, we have a robust footprint in Asia, covering Taiwan, Hong Kong, Singapore, Indonesia, and Thailand^.

Responsibilities

Handle regulatory license applications

Handle regulatory reporting

Assist in responding to regulator enquiries

Support compliance reviewing and monitoring activities

Provide AML and general compliance advice

Provide general compliance and administrative support

Requirements

Degree holder in Law, Finance, Accounting, Business or related discipline

Minimum 2 years of relevant working experience

Proficiency in written and spoken English and Chinese

Mature, self-motivated with strong sense of responsibility

Independent, enthusiastic, accountable and able to work under pressure

Candidate with less experience will be considered for the position of Analyst

We offer a competitive remuneration package and long-term career development to the right candidates.

Information provided will be treated in strict confidence and will only be used for recruitment related purposes. All personal data of unsuccessful applicants will be destroyed within six months after the completion of recruitment process.

(Personal data collected will be used for recruitment purpose only.)

*KGI refers to KGI Asia Limited and its affiliates

^an investee enterprise of KGI Securities, not a subsidiary

KGI* has been a leading financial institution in Asia since 1997. Our scope of business encompasses Wealth Management, Global Markets, Asset Management and Global Sales & Prime Services. We are committed to offering a comprehensive range of financial products and services to corporate, institutional, and individual clients throughout Asia. Backed by KGI Financial Group, we have a robust footprint in Asia, covering Taiwan, Hong Kong, Singapore, Indonesia, and Thailand^.

*KGI refers to KGI Asia Limited and its affiliates

^an investee enterprise of KGI Securities, not a subsidiary

KGI* has been a leading financial institution in Asia since 1997. Our scope of business encompasses Wealth Management, Global Markets, Asset Management and Global Sales & Prime Services. We are committed to offering a comprehensive range of financial products and services to corporate, institutional, and individual clients throughout Asia. Backed by KGI Financial Group, we have a robust footprint in Asia, covering Taiwan, Hong Kong, Singapore, Indonesia, and Thailand^.

*KGI refers to KGI Asia Limited and its affiliates

^an investee enterprise of KGI Securities, not a subsidiary