Responsibilities:

• Review and update internal control policies and procedures and keep track of regulatory requirements (SFC - Type 9)
• 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 2 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 must
• Good command of spoken & written English & Chinese, with self-initiative, independent and willing to work under pressure