Responsibilities

1. Review and update internal control policies and procedures and keep track of regulatory requirements of (the "SFC);
2. Perform day-to-day investment guideline management corresponding to the rules and regulations of (the "SFC);
3. Assist to review and monitor the company's ongoing and new business in compliance with requirements of relevant regulatory bodies, and to ensure the company's internal procedure and policies are in line with latest rules and ordinance;
4. Advise the Management and business units on regulatory requirements;
5. Assist in dealing with corporate licensing related matters and deal with (the "SFC") on higher level issues;
6. Assist in develop and implement compliance manual, procedures and monitoring programs to ensure they reflect current regulation, industry best-practice, and changes in business structure and activities;
7. Assist in raising and maintaining compliance awareness among staff by providing timely information, publications and relevant training;
8. Handle ad hoc projects assigned by management.

Requirements

• Bachelor degree Banking and Finance, Accounting or related disciplines;
• Minimum 3 years' experience in a dealing in securities with margin Compliance role (preferably relevant experience in asset management and Pre-IPO fund are desirable.);
• Familiar with regulatory environment in regional financial industry;
• Able to work independently and under pressures
• Familiar with SFC type 1, 4, 9
• Proficient in both spoken and written English and Chinese;
• Excellent interpersonal and communication skills
• Team-player and strategic thinker.