Responsibilities:

• Develop and enhance the compliance frameworks in relation to the Company's various business activities and initiatives
• Assist in consultation raised by operation team and management of the Company relating to compliance issues, including due diligence and AML / CTF / KYC risk management
• Prepare monthly FRR reports to SFC 
• Review and distribute internal management report related to compliance issues
• Handle SFC licensing matters, registration work, enquiries and prepare various reports as required
• Update compliance policies and procedures with information on the latest regulatory requirements
• Work closely with back office, front office, internal and external auditors and regulatory authorities on compliance issues
• Knowledge of securities and investment products and their operation is an advantage but not compulsory
• Perform ad hoc projects as required

Requirements:

• Bachelor degree in Accounts / Finance /Business / Legal Studies or related discipline(s)
• At least 3 years of compliance experience in brokerage firms or financial institutions / experience in Legal & Compliance Department of financial institutions of Hong Kong, preferably banks
• Good understanding of SFC codes and regulatory requirements of securities brokerage industry
• A team player with strong communication and analytical skills as well as high degree of professional maturity
• Able to work independently
• Excellent verbal and written communication skills both in Chinese and English, proficiency in Mandarin is a plus
• With solid knowledge in application of SFC & local regulatory requirements
• Responsible, hardworking and well-organized

Interested candidates, please send your detailed resume, including present and expected salary as well as availability date, to Human Resources Department.

All personal data collected will be used for recruitment purpose only and will be kept strictly confidential. Only short-listed candidates will be notified.