Ref: AC/C/271117DB/51

Responsibilities

• Assist in performing the Control Room functions including maintenance of Watch List and Stop List, following up of deal logging issues and handling of wall-crossing
• Handle personal dealings, outside accounts and engagement of staff members and sales agents
• Perform follow-up reviews to verify the rectification of compliance related findings and recommendations by regulators, internal and external auditors
• Conduct compliance reviews and investigations. Escalate any non-compliance issues to superior in a timely manner when necessary
• Co-ordinate and provide assistance in Compliance trainings

Requirements

• Degree holder in Accounting, Business, Law or related discipline
• 2 to 3 years’ relevant experience, preferably in compliance, audit or related field in the financial services industry or with regulatory authorities
• Knowledge of Securities and Futures Ordinance and its subsidiary rules preferred
• Organized and attentive to details
• Quick learner, self-motivated, with good analytical and communication skills
• Proficiency in MS Office applications
• Good command of both written and spoken English and Chinese

We offer a competitive remuneration package to the right candidate. If you are interested in the post, please send your resume together with your present and expected salaries by clicking “Apply Now”.  Please quote reference number when submitting your job application.  You can also visit the page of “Careers” at our company website at http://www.shkf.com/main.html for more information about our career opportunities.

We are an equal opportunity employer and welcome applications from all qualified candidates. All applications will be treated in the strictest confidence. Personal data provided will be used for recruitment purposes only.  The job applicant will assume all or any risks arising out of or in connection with the job application transmission process prior to our actual receipt of the same including but not limited to accidental or unauthorized loss or disclosure of personal information, to which we will not be responsible in any way.

Under the Personal Data (Privacy) Ordinance, you may request access to, and / or correction of your personal data in relation to your application. If you wish to do so, please email to us.