Responsibilities

• Supervise and managed business operation, including all SFC regulated activities to ensure full regulatory compliance and good market practices
• Review various manuals and procedures
• Prepare regulatory and internal / external compliance reports and performs required follow up work
• Support SFC licensing and continuous professional training monitoring process
• Support business contingency arrangements by maintaining contact lists and records and coordinating regular checks for the compliance team
• Assist with compliance related projects as assigned

Requirements:

• Degree of finance,economics, business administration and related discipline
• 1-2 years of experience in SFC regulated activitie Strong people management skills
• Good command in English and Chinese(Cantonese and Putonghua)

Founded in 2017, SP Global Access is an investment company that is traditional and innovative. We provide comprehensive and professional investment services for high-end clients and institutional investors. Our business covers Hong Kong stocks, US stocks, Hong Kong stock options, IPO subscriptions, margin financing, etc