Responsibilities:

• Overseeing and monitoring the regulatory, compliance, operational risk;
• Coordinate and liaise with regulators/authorities such as SFC and handle their enquiries and/or investigations regarding type 1, 4 and 9 licenses issues;
• Develop, implement and conduct training on AML, regulatory and compliance matters;
• Formulating, developing compliance policies and procedures and monitoring trade and transactions.
• Advising on compliance issues and handling licensing, CPT monitoring matters and attending to enquiries from regulators.
• Preparing, drafting and reviewing legal documentations.
• Other ad hoc jobs as may be assigned by the company from time to time.

Requirements:

• Degree holder in Laws or related disciplines over at least 4 years relevant experience gained from finance field, preferably asset management and securities companies.
• Good knowledge of Hong Kong regulatory regime, familiar with relevant codes and rules, experienced in dealing with regulators.
• Familiar with Type 1, 4 and 9 license related business under SFC regulation.
• Well-versed with Securities and Futures Ordinance and HKEX regulations
• Good command of written English and Chinese and excellent communication skills.

磐厚國際資產管理公司（以下簡稱 “ 磐厚資產”）是磐厚國際控股有限公司全資子公司。磐厚資產是立足於香港的資產管理金融機構，獲發香港證監會資產管理和證券諮詢牌照。

磐厚資本創立於2011年，始終秉承穩健的投資理念，將降低投資風險，提高投資收益放在首要位置。經過多年的發展，業務線涉足境內外股權資產管理、私募基金管理，產業並購基金等領域，擁有經驗豐富的投行、投資團隊，致力為客戶提供多元化綜合金融服務。公司多平臺合力發展，已成為跨區域、跨市場、全方位、專業化的綜合金融集團。主要業務包括：大宗交易平臺，產業並購基金，一級、二級市場基金。