Job Description
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
- Review and monitor routine and exception trade surveillance reports, ensuring timely follow-up with appropriate stakeholders and escalate issues to Sales Management when required, ensuring compliance with relevant rules, laws, regulations and internal policies
- Prepare management reports within agreed timelines and with accurate details
- Assist in handling compliance and audit inquires by coordinating Sales Management responses, gathering required information and addressing compliance and internal audit requests
- Ensure proper documentation of monitoring activities, follow-up actions and escalations, maintaining auditable records and well-organized case files
- Perform ad hoc duties as assigned by supervisors and Sales Management
Requirements
- Bachelor’s degree or above
- Minimum 1-2 years of relevant working experience in finance or local brokerage firm
- Strong market awareness with the ability to respond proactively to business needs
- Self-motivated, detail-oriented, and able to work independently under pressure while maintaining a high level of accuracy
- Excellent analytical and problem-solving skills
- Proficiency in written and spoken English and Chinese
- Proficiency in computer skills (MS word and excel)
We offer a competitive remuneration package and long-term career development to the right candidates. Interested applicants, please send your full resume and expected salary quoting reference to the HR Department, 41/F, Central Plaza, 18 Harbour Road, Wanchai, Hong Kong or by clicking “Apply now”
For more details about career opportunities in KGI, please visit our website https://www.kgi.com.hk/en/others/careers
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
