- Hong Kong Hong Kong
Webull Securities Limited Hiring! Full Time Senior Vice President - Legal and Compliance in Hong Kong - Ricebowl
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Job Description
Responsibilities
Webull Securities Limited ("Webull") is licensed with the Securities and Futures Commission of Hong Kong ("SFC") (CE No.: BNG700) for carrying out Type
1 License for Dealing in Securities, Type 2 License for Dealing in Futures Contracts and Type 4 License for Advising on Securities.
Webull intends to provide better investment platform with excellent data and securities trading service to both professional investors and retail
clients.
For more information, please visit our company website *************
Responsibilities
Perform license applications, notifications, enquiries, complaints, surveys and maintain relevant records
Perform transaction monitoring, trade surveillance, name screening and undertake investigations into any suspicious transactions reported
Establish compliance monitoring programs and conduct regular reviews including staff dealing activities to identify potential compliance or internal control issues
Perform AML/KYC and account opening reviews including customer due diligence and periodic reviews for retail and institutional client
Advise on compliance with FATCA and CRS reporting matters
Review marketing materials, client documentations and notices
Conduct internal compliance trainings and maintain CPT records
Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements
Undertake various ad hoc compliance projects and initiatives as required from time to time
Provide administrative support to the legal & compliance department by maintaining regulatory documentation, coordinating compliance activities, and ensuring accurate record-keeping to support regulatory adherence and reporting requirements
Requirements
Degree holder in Business, Finance, Law or other related disciplines
4-6 years of legal and compliance experience in brokerage companies/regulator
Proficiency in written and spoken English, Cantonese, and Putonghua is a must
Excellent communication and presentation skills
Proactive working attitude and a team player
Responsible and able to work under pressure
Immediately available is preferred
We offer competitive remuneration package & career prospects to the right candidate. Interest parties please apply with resume showing availability, current and expected salary by clicking “Apply Now”.
Full-time
1 License for Dealing in Securities, Type 2 License for Dealing in Futures Contracts and Type 4 License for Advising on Securities.
Webull intends to provide better investment platform with excellent data and securities trading service to both professional investors and retail
clients.
For more information, please visit our company website *************
Responsibilities
Perform license applications, notifications, enquiries, complaints, surveys and maintain relevant records
Perform transaction monitoring, trade surveillance, name screening and undertake investigations into any suspicious transactions reported
Establish compliance monitoring programs and conduct regular reviews including staff dealing activities to identify potential compliance or internal control issues
Perform AML/KYC and account opening reviews including customer due diligence and periodic reviews for retail and institutional client
Advise on compliance with FATCA and CRS reporting matters
Review marketing materials, client documentations and notices
Conduct internal compliance trainings and maintain CPT records
Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements
Undertake various ad hoc compliance projects and initiatives as required from time to time
Provide administrative support to the legal & compliance department by maintaining regulatory documentation, coordinating compliance activities, and ensuring accurate record-keeping to support regulatory adherence and reporting requirements
Requirements
Degree holder in Business, Finance, Law or other related disciplines
4-6 years of legal and compliance experience in brokerage companies/regulator
Proficiency in written and spoken English, Cantonese, and Putonghua is a must
Excellent communication and presentation skills
Proactive working attitude and a team player
Responsible and able to work under pressure
Immediately available is preferred
We offer competitive remuneration package & career prospects to the right candidate. Interest parties please apply with resume showing availability, current and expected salary by clicking “Apply Now”.
Full-time
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