Responsibilities:

• Develop and review compliance program and perform internal investigation
• Develop, update and review policies, procedures and guidelines from the compliance perspective and circulate to staff for compliance purpose
• Handle enquiries from regulators and external parties e.g. SFC
• Handle licensing matters, notification, annual return, survey and other ad hoc reports as required by the regulators
• Develop training materials and coordinate compliance
• Review advertisement, marketing materials and webpage for adherence to regulatory requirements
• Handle ad hoc tasks as assigned

 Requirements: 

• Degree holder in law, finance, accounting or related disciplines
• Relevant experience in securities firm / Asset Management House
• Sound knowledge of the SFO and other relevant codes and regulations as well as rules and regulations of  Type 1, 4 , 6 & 9
• Good knowledge in AML/KYC and back/middle office operation is preferential
• Fluent in English and Chinese (Proficiency in Mandarin will be an advantage)
• Good team player and self-motivated with strong sense of responsibility, organizational and problem solving skills
• Self-motivated, independent with strong communication skills
• Professional presentation and report writing skills
• Immediately available is highly preferred