Responsibilities

• Perform regular quality assurance and monitoring field work related to regulated activities
• Investigate and analyze the deficiencies found and make detailed and timely communication and follow-up actions
• Prepare internal investigation reports and analysis
• Provide compliance related training
• Assist in dealing with HKEX, SFC, IA and other regulatory organizations for all compliance and licensing matters
• Perform necessary tasks relating to compliance management and review documents, processes from legal and compliance perspective
• Assisting in formulate and review general compliance manual, AML and other internal policies and procedures
• Advising the business on any compliance matters
• Assisting in responding to enquiries from regulators
• Work with external parties such as lawyers and auditors
• Support ad-hoc projects related to the quality control or compliance

Requirements:

• Degree holder of Laws, Finance or other related disciplines
• 5 years’ relevant compliance experience gained in financial institutions
• Well-versed with Securities and Futures Ordinance, HKEx and Insurance Authority regulations
• Proficient in MS Office especially word, excel and powerpoint
• Excellent communication skills in English, Putonghua and Cantonese (spoken & written)
• Strong sense of responsibility, well organized, self-motivation, good team player and able to work independently under pressure
• Immediate availability is highly preferred