在新西兰
Compliance OfficerSNB Finance Holdings LimitedMore jobs from this company
About the business
Snowball Securities is based in NZ and providing internet based securities trading service to local and worldwide clients who intend to invest on global market including trade in NZX, ASX, U.S, Hong Kong, China or other major international market. The company is the subsidiary of Snowball Group, which owns the most influential financial social networks (Xueqiu.com) among Chinese investors around the world.
About the role
- Responsible for NZ local compliance, the improvement of company's overall compliance management and to avoid illegal conduction which may cause penalty from authorities.
- Work with NZ local lawyer firm and the internal legal affair team.
- Contact local authorities on behalf of the company, such as FMA, and complete corresponding work according to their requirements.
- Lead the internal compliance training program.
- Provide compliance consulting and support to internal teams.
- Any other compliance related jobs.
Skills and experience
- Law/legal bachelor degree or above
- Excellent English and Mandarin language ability, able to review, revise and draft legal documents in both English and Chinese, such as client agreements, compliance programme, etc.
- Solid knowledge of Financial Advisers Act, Financial Service Providers (Registration and Dispute Resolution) Act, Anti-Money Laundering and Countering Financing of Terrorism Act, FMA and FSPR's regulation of FSP (Specialized in broking service) will be a big bonus.
- Any certificate in lawyer qualification examination will be a bonus
- Good communication and team work.
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