Responsibilities:

• Handles statutory filings and reportings to the relevant regulators
• Maintain the statutory books and records of the company and manage the board resolutions of the company
• Handle regulatory correspondence (including licensing matters) and liaise with the relevant regulators in different jurisdictions (e.g. SFC, CSRC, SEC, FSC, CIMA)
• Monitor general compliance functions of the company including filing of returns,training records keeping, staff dealing policies, FRR review, etc.
• Attend and provide company secretary services on management meetings and corporate level meetings
• Assist to update compliance manuals and compliance checklists
• Coordinate internally for internal and external audits
• Perform KYC/AML surveillance and review account opening documents
• Provide orientation training on compliance to new hires

Requirements:

• Degree Holder in Law, Business, Finance or related discipline
• At least 2 years compliance experience in financial services industry, preferably in asset management firm with knowledge in ETF, authorized funds and private funds
• Company secretary experience in handling statutory filing, preferably with Chartered Secretary qualification
• Familiar with SFC regulations, AML and other relevant legal and regulatory requirements
• Strong report writing skills, in both Chinese and English
• Solid communication skills, in Putonghua, Cantonese and English
• Able to work under pressure, responsible, detail-minded, well-organized with good communication skills