Job Duties:

• Oversee compliance issues in relation to all business activities, including SFC regulated activities Type 1, 2, 4 and 9;  
• Provide advisory to Responsible Officer and Senior Management Team on compliance related issues for the group companies;
• In-charge of licensing issues for all licensed corporations, licensed representatives and responsible officers;
• Formulate compliance related policies and procedures as well as proper control to ensure that Company’s activities are in compliance with latest statutory and regulatory requirements;
• Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies;
• Perform regular compliance check and internal control function to ensure the business operations are full compliance with external regulatory requirements;
• Promote compliance awareness across the business;
• Design and conduct regular trainings on regulatory to internal staff;
• Handling SFC and external enquiries;
• Preparing regular and ad hoc compliance report;
• Handle other ad-hoc assignments as required.

Requirements:

• Degree holder majoring in Law, Accounting, Business Management, Finance or related discipline;
• Minimum 5-8 years of relevant working experience;
• Excellent knowledge of rules and regulations relating to securities and futures brokerage and asset management;
• High sense of responsibility with good organizing, communication and presentation skill;
• Self-motivated, possessing initiative and ability to work independent;
• Good command of written & spoken English and Chinese including Mandarin.

We offer attractive remuneration package to the right candidate.  Interested parties please send your full resume (in Chinese and English) with expected salary and available date to the Human Resources Department by clicking the Apply Now button.

Interested candidates, please contact us at (852) 3919 9997 for company details before applying.