Responsibilities

• Handle licensing matters, notification, annual return, survey and other ad hoc reports as required by the regulators
• Handle Hong Kong regulatory work including SFC enquiries and investigations 
• Conduct internal compliance review and control, to ensure compliance policies and procedures are maintained and followed

Requirements

• Degree graduate is an advantage but NOT MUST
• Minimum 3 years of relevant hands-on compliance experience in securities brokerage
• Good understanding of the regulations
• Strong sense of responsibility, self-disciplined, initiative and work independently
• Excellent communication in English and Chinese (including Putonghua)
• Less experience also will consider

We offer attractive salary package and 5-day work per week to the right candidate.
 
Interested parties, please send CV with full career detail, salary history, availability and expected salary by clicking "Apply Now".

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