Responsibilities:

.       Review and update internal control policies and procedures and keep track of regulatory requirements

.       Undertake regular compliance monitoring reviews

.       Coordinate and liaise with regulatory authorities on enquiries, reporting, inspection or investigation

.       Assist in developing and delivering compliance training and reviewing relevant legal documents

Requirements:

.       Degree in Law, Accounting, Finance or other related discipline with at least 3-6 years' relevant experience, preferably in Compliance or Internal Audit

.       Well-versed with Securities and Futures Ordinance and HKEx regulations

.       Knowledge of legal, asset management and wealth management businesses is a definite advantage

.       Good command of spoken & written English & Chinese, with self-initiative, independent and willing to work under pressure