Responsibilities:

• Advise the business on regulatory and compliances issues;
• Perform compliance and/or risk management projects; proactively participate in strategic projects. Establish proper controls, policies and procedures to ensure compliance with internal and external regulatory requirements; review policies and procedures prepared by other departments and provide input to ensure compliance with applicable legal and regulatory requirements;
• Conduct regular compliance reviews and checking on client due diligence, account opening, staff dealing, individual and corporate licensing. Monitor portfolio trading activities to ensure compliance with rules and regulations, including trade monitoring and surveillance;
• Develop and implement risk assessment program to manage and monitor key business and operational risk; prepare relevant reports for senior management review;
• Promote compliance awareness and culture of the Company, including development and delivery of compliance training.

Requirements:

• Degree in Finance or Law related disciplines;
• 3-5 year's relevant experience in risk and compliance management, exposure in  securities industry is a must;
• Sound knowledge of securities products the relevant SFC ordinances and related regulations;
• Good analytical, communication and interpersonal skills;
• Strong PC skills in Microsoft Office (including Excel, Access and Word);
• Good communication and writing skills in both English and Chinese.
• Candidates with more experience will be considered as Assistant Manager

We offer competitive remuneration package, our benefits include:

• Performance bonus
• Education subsidy
• Professional membership fee sponsorship
• Life & medical insurance
• Annual leave
• Public holidays
• Staff purchase discount

Interested parties please send full resume with present and expected salary to Human Resources Department by clicking "Apply Now".

(Information provided will be treated in strict confidence and will only be used for recruitment-related purposes.)