Responsibilities 

• Perform and handle full spectrum of compliance duties for the company and its affiliated companies
• Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies.
• Handle regulatory procedures in dealing with external regulatory institutions, e.g. enquiries, licensing matters, notification, annual return and survey as required by the regulators
• To assist in developing, updating and reviewing policies, procedures and guidelines from the compliance perspective
• To conduct AML / KYC assessments and transaction monitoring on AML as well as perform an internal control function to ensure the business and operations are in compliance with regulatory requirements
• Develop training materials and coordinate compliance / AML training
• Preparing regular and ad hoc compliance report 

Requirements 

• Bachelor degree in business, finance, law or related field
• Minimum 2-3 years compliance experience in a Securities firm. Applicants previously employed in the professional firms (accounting firms, solicitors or regulators) on the audit, compliance or investigation of Securities companies or Banks will also be considered 
• Good understanding of SFO and other relevant rules and regulations
• High sense of responsibility with good organizing, communication and presentation skill
• Self-motivated, possessing initiative and ability to work independent
• Good command of written & spoken English and Chinese including Mandarin
• Candidates with more solid experience will be considered for the post of Senior Compliance Officer or Manager.

We offer competitive remuneration including career prospects to the right candidate. Interested parties please send detailed resume with availability, current and expected salaries to Human Resources and Administration Department, JOINCAP Financial Holdings Limited, Suite 606, Level 6, One Pacific Place, 88 Queensway, Central, Hong Kong.

JOINCAP Financial Holdings Limited is one of the fastest growing integrated financial services corporations in the market. With a keen eye to establish the business in the Greater China area and then further expand to other continents in the world, we are currently undergoing an extensive expansion in our headquarters in HK. As a result, we are now looking for high caliber candidates to share our vision and venture our success with a key focus on the accounting duties for the group's SFC Type 1, 4, 6 and 9 regulated activities.