Responsibilities

• Review and enhance compliance framework on Type 1 regulated activities
• Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements
• Review regulatory returns to ensure they are accurate and submitted in line with regulatory timescales, working closely with the finance team
• Handle inquiries and investigation from SFC and HKEx
• Handle licensing issues for individuals;
• Perform transactions monitoring and AML measures;
• Develop training materials and coordinate compliance / AML training
• Perform ad hoc projects as required
  
  
  

Requirements

• Bachelor degree in Accounting/ Economics/ Finance/ Law
• Minimum 2-3 years of compliance experience in securities firm;
• Excellent command of written and spoken English and Chinese (Cantonese and Mandarin)
• Good understanding of SFO and other relevant rules and regulations.
• A team player with strong communication and analytical skills as well as high degree of professional maturity
• Able to prioritize multiple tasks and detail-minded
  
  
  

We offer a competitive salary package and 5 days work to the right applicant. Interested parties please send your full resume with current & expected salary and date of availability by clicking "Apply Now".

Personal data will be used for recruitment purpose only.

Topper Dragon Securities Limited is a securities firm in Hong Kong with regulated activities of Type 1 and is now looking for the right candidates to fill in the following position: