RESPONSIBILITIES:

• Oversee and manage compliance matters related to the SFC licensed activities (Type 1,2,4,6,9) in Hong Kong, with particular experience in asset management.
• Liaise with the regulators, auditors and legal counsel on compliance matters;
• Handling correspondence with the SFC and other regulators
• Monitoring and checking irregular regulated activates of different business units on a daily basis to identify potential problems and anomalies
• Updating, assessing and improving the efficiency and effectiveness of existing operations to ensure of compliance with internal and external rules, policies and regulations
• Identify potential compliance risk and pitfalls, and actively advise management and board to implement proper compliance program to address any potential regulatory problems
• Keep track of regulatory changes and corporate governance trend, pro-actively advise management to develop guidelines and policies to cope with the ever-changing regulatory environment

REQUIREMENTS:

• Professional degree holder with over 10 years' solid legal and/or compliance experience in non-bank financial conglomerate, with emphasis on asset management’s compliance experience
• Experience with private funds regime and professional investors rules and regulations
• Good knowledge of SFO, AML, KYC, FACTA, CRS, as well as financial rules and regulation in PRC
• Superior communication skill with internal teams, and external parties such as regulators, legal councils, etc.
• Experience to lead and manage a team of compliance professionals
• Familiar with margin financing and money lending business will be a plus
• Good command of written and spoken Chinese (Cantonese and Putonghua) and English
• Immediate available will be advantage

We offer competitive remuneration package & career prospects to the right candidate. Interested parties please apply with resume showing availability, current and expected salaries by quick bottom.

Website: www.ctsec.com.hk

(Personal data collected will be kept confidential and used for recruitment purpose only)