Responsibilities:

• Handle SFC licensing matters;
• Draft and update or provide advice on all relevant manuals, policies and procedures to ensure that they properly reflect applicable legal and regulatory requirements, best practices and Firm standards, and issue new policies and procedures in light of regulatory or business developments
• Organize all relevant departments to draft the annual plan of manuals, policies and procedures and execute the plan after obtaining the approval
• Update compliance policies and procedures, and information on regulatory requirements;
• Liaise with regulatory authorities;
• Perform  surveillance for trading activities; Involve in new products launching procedure, providing day-to-day compliance advice to different business lines
• Review and approve client AML/ KYC / due diligence reports
• Oversee the AML/ KYC process
• Perform central compliance functions (conduct staff training / CPT monitoring / reporting functions, etc.)
•  Review and issue compliance report on cross departments ‘business or investment project and risk assessment report on major decision
• Review and provide advice to other departments from legal perspective
• Supervise and provide guidance to all departments on defect rectification in the internal control self-evaluation report
• Perform independent reviews and make evaluation on various activities periodically, draft regulatory compliance report including proposal and advice
• Provide compliance training to business units and infrastructure support functions
• Help manage contacts and relationships with regulators, ensuring that communications with regulators are open and constructive
• Review and evaluate the effectiveness and completeness of internal control and risk management within the department, make proposal and advise
• Ad hoc projects and administrative/clerical duties
• Construct business plan for authorities
• Fresh   graduates are welcome 
• SFC license   may required after probation 

Requirements:

• University graduate with Bachelor Degree (or above) in business related discipline
• Holder of HKSI paper 1, 7 & 8 is an advantage 
• Holder of II QE paper is an advantage.
• Familiar with the Securities and Futures Ordinance, SFC rules and regulations
• Good communication skills
• Good command of written English and Chinese
• Proficiency in Microsoft Office applications and Chinese word processing

Fringe benefits will be offered to the successful candidate.

Interest parties please send full resume with current & expected salary and the date of availability by email to us.