Responsibility:

- Liaise with SFC, handling all compliance issues;

- Maintain and review compliance policies and procedures, ensuring compliance with applicable laws and regulatory requirements;

- Conduct regular compliance reviews and checking on client investment suitability management, staff dealing, individual and corporate licensing, account-opening; and 

- Ensure compliance of the acts of the company and the staff with all relevant laws, rules and guidelines regulating trading in securities. 

- Perform ad-hoc compliance projects;

Job requirements:

- Bachelor degree in Accounts/ Finance/Business/ Legal Studies preferred

- Proficiency in MS Word, Excel, and Chinese Word typing; 

- Good command of Chinese and English;

- At least 1 years compliance experience in financial industry;

- Well-organized, good interpersonal and communication skills, able to work under pressure and responsible; and

- Member of HKICPA is a definite advantage.

Ferran Securities Limited was established in the year of 2016 and acquired the SFC Licence. Our business is mainly focusing on the dealing securities and advising in securities, we also provide Margin Financing in Securities.