Responsibilities:

• Provide advice to business units and support on full spectrum of compliance;
• Responsible for Hong Kong regulatory work including SFC enquiries and investigations;
• Monitor all daily dealing activities and keep informing the up-to-date regulatory and legislative change to the relevant staff and business units;
• Review account opening documents, draft and prepare company policies, procedure manuals and guidelines for different departments and business units;
• Be able to communicate with different parties via phone calls and/or emails in professional manner;
• Handle day-to-day administration duties and ah-hoc projects

Requirements:

• DSE / Diploma or above. Degree holder in Law/ Accountancy/Finance or related disciplines would be preferred;
• 1-3 years legal/compliance experience within a financial institution and knowledge of applicable law, rules and codes and working knowledge of securities and futures products would be an advantage;
• Proficiency in MS Word. Excel and Power point applications;
• Good communication skills for collaborative work with inter-departmental and external parties;
• Good Command of spoken English and Mandarin;
• Self-starter and able to work independently to finish work on time;
• Immediate available is preferred