Responsibilities:

• Handle SFC licensing matters;
• Update compliance policies and procedures, and information on regulatory requirements;
• Liaise with regulatory authorities;
• Perform surveillance for trading activities; Involve in new products launching procedure, providing day-to-day compliance advice to different business lines
• Review and approve client AML/ KYC / due diligence reports
• Oversee the AML/ KYC process
• Perform central compliance functions (conduct staff training / CPT monitoring / reporting functions, etc.)
• Ad hoc projects and administrative/clerical duties

 Requirements:

• Degree in Accountancy/ Finance/ Law and related subjects is preferred;
• 1-2 years compliance experience, preferably in brokerage house
• Familiar with the Securities and Futures Ordinance, SFC rules and regulations
• Good command of written and spoken English and Cantonese 

We offer competitive remuneration packages to the right candidate. Interested parties please send your resume with Current & Expected Salary and the Available Date.

Incorporated in 2016, Sui Hang Asia Limited is now applying the required licenses from the Securities and Futures Commissions in order to carry out regulated business activities.         

   
Our financial services include:            

•  Type 1: Dealing in Securities        
•  Type 4: Advising On Securities        
•  Type 9 : Asset Management        

Our team has extensive professional experience, such as relevant experience in financial planning, global investment banking and investment management.