Responsibilities:

Develop and maintain an effective compliance and control system within the Company

Provide guidance and advisory solutions on compliance in the day to day business operations

Conduct regular compliance reviews and ad-hoc investigations to ensure the Company complies with applicable legal and regulatory requirements

Keep abreast of regulatory developments and provide regulatory updates and training

Review marketing materials, draft legal documentation, procedures and control guidelines

Liaise with SFC on enquires and licensing matters, disclosure information replies

Requirements:

Degree holder in Law, Finance, Accounting or related disciplines

Minimum threeyears relevant experience in compliance, legal or regulatory fields in securities, investment firm or financial institution

Good knowledge of SFC regulations and other regulatory requirements such as AML, KYC

Familiar with investment products

Good command of verbal and written in English and Chinese, proficiency in Mandarin is a plus

Independent, analytical, proactive, responsible and good interpersonal skills

Immediate available is highly preferred

We are new established company. As a wholly-owned subsidiary of Huaxin Futures Group (Hong Kong) Financial Holdings Limited which is wholly-owned by CEFC Futures Co.,Ltd, we are incorporated in Hong Kong, supported by the mainland and targeting in global market, with business covering direct investment, asset management, corporate finance and securities brokerage. By leveraging on the CEFC Group’s synergy and coordination in domestic and overseas markets, as well as CEFC’s strong resources and outstanding social reputation, Hua Xin International Financial Holdings Limited and its subsidiaries would be built into an integrated financial institution providing comprehensive and professional services. We are now looking for high caliber candidate to join our team.