You will be required to work closely with management to provide counsel, advice and support to the business on compliance related areas
You will also be required to:
Provide advisory services on transactional issues, for existing and new business initiatives and products
Manage on-going regulatory matters
Generate Compliance Rule, policies and procedures and related internal rules, or revise company existing Compliance Rule in line with Head Office policies and procedures.
Manage periodic KYC for existing clients
Maintain continuous and regular communication with HQ
Support to make necessary documents of various agreements and contracts for all businesses.
To qualify for this role, you must possess
5 years compliance experience
Prior experience in securities compliance
Ideally candidates with brokerage experience
Strong experience in Securities and Futures Act (SFA) and Financial Advisors Act (FAA)
To apply for this role, do email your latest cv to paul.zhong@cornerstoneglobalpartners.com
