招贤纳士

Responsibilities & Duties

• Responding to compliance enquiries
• Performing regular monitoring to ensure that standards are adhered
• Maintaining and reviewing policies and procedures to ensure compliance with the CySec and FSA rules and regulations
• Monitoring and reporting on employees’ adherence to client policies and procedures, including by carrying out periodic compliance audits
• Reviewing new regulations applicable to investment firms and identifying potential compliance risks
• Developing compliance training materials and performing ongoing compliance training to employees
• Examining, evaluating and responding promptly to client grievances.
• Assessing the effectiveness of our client’s compliance program and advising on measures to reduce compliance risk

Requirements

• Bachelor’s degree in Law
• Excellent command of the English language, both verbal and written
• Team spirit, excellent problem-solving ability and willing to study and develop
• 3-5 years’ experience within the financial services sector will be considered as an advantage
• Experience in dealing will be considered as an advantage

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Disclaimer

This content is for educational and informational purposes only and should not be considered investment advice, a personal recommendation, or an offer to buy or sell any financial instruments.

This material has been prepared without considering any individual investment objectives, financial situations. Any references to past performance of a financial instrument, index, or investment product are not indicative of future results.

PU Prime makes no representation as to the accuracy or completeness of this content (except newsroom articles and Trading Hours Changes messages) and accepts no liability for any loss or damage arising from reliance on the information provided. Trading involves risk, and you should carefully consider your investment objectives and risk tolerance before making any trading decisions. Never invest more than you can afford to lose.