Responsibilities:

• Perform compliance checking and review on investment products;
• Provide advisory services to business units on compliance related matters;
• Perform AML/KYC checking and monitoring on account opening and periodic review;
• Experience in dealing with SFC license applications and on-going SFC compliance matters for SFC licensed companies;
• Major responsibilities including internal compliance documents preparation, periodic communication to SFC, FRR review, preparation, licensing issues and etc.
• Being responsible for company's and representative's license application, maintenance and reporting to SFC/PIBA, CPT/CPD monitoring and the maintenance of proper licensing with all relevant regulators;
• Handle and monitor trade activities to identify any non-compliance transactions;
• Organize and maintain records for company’s contracts;
• Assist to establish and review policies and procedures manuals and ensure the processes are in compliance with legal and regulatory requirements and internal policies;
• Ability to multi-task and prioritize effectively and must be able to manage a large workload efficiently, delivery to stick deadlines; and
• Ability to multi-task and prioritize effectively; must be able to manage a large workload efficiently, delivering to strict deadlines.

Requirements:

• University graduate in Law or related disciplines;
• At least 5 years of compliance experience in reputable financial institutions such as asset management / wealth management, securities or brokerage firms, investment banks, etc.;
• Extensive knowledge of financial service regulatory and licensing requirements;
• Posses sound knowledge in AML / CFT regulations and hands-on experience;
• Experience in dealing with regulators;
• A strong team player with excellent inter-personal and communication skills;
• Good command of both spoken and written, Putonghua, Cantonese, and English;
• Less experience will be considered as Assistant Compliance Manager.

 We offer excellent remuneration package and career development to the right candidate.  Fringe benefits include medical insurance, free lunch and 5-days work.

Interested candidates please send us resume with expected and present salary to HR and Admin Department via email: hr @ffgwm.com

(All personal information received will be kept in strictly confidential and only for recruitment purpose only.)