Responsibilities:

• Prepare the filling to relevant regulatory authorities (e.g. SFC)
• Conduct compliance monitoring reviews
• Correspond with internal and external customers on compliance issues, such as Client Complaints, Trade Audits, FX License registration and examinations
• Monitor standard business activities, functions and practices to ensure compliance with regulations and policies
• Assist in coordinating and providing compliance training (e.g. AML & CPT) to in-house staff
• Assist in ad-hoc investigations in order to get background information to provide advice and recommendations
• Assist in establishing and developing appropriate and effective internal compliance policies and procedures on any new regulatory requirements and business activities or products
• Perform any ad-hoc tasks assigned

Requirements:

• Degree holder in Accounting, Law or related disciplines

• At least 2 years of compliance or relevant experience gained from financial institution.

• Knowledge of SFC regulations and other relevant legal and regulatory requirements.

• Proficient in both spoken and written Chinese and English

• Reliable with high integrity and responsibility, strong commercial sense and meticulous with good inter-personal skill.

• Candidates with less experience may be considered as Junior Compliance officer

Rakuten Securities Hong Kong, leveraging the strong capital and market-leading fintech of Rakuten Securities, Inc., we strive to become your premier forex broker by driving product and service innovation.

Rakuten Group is listed on TSE (Tokyo: 4755) and operates global business covering more than 30 countries and regions with approx. 23,841 employees as of Dec, 31 2020. In FY2021, the Group revenue was 1,681 billion yen.