Responsibilities:

• In-charge of the compliance department, handle license application, maintenance and reporting with SFC, CPT monitoring, ensure proper licensing with local regulators
• Promote compliance awareness across the businesses and design training on regulatory, compliance policies and procedures to company staffs
• Develop and maintain / enhance compliance related policies and procedures as well as proper internal control to ensure that Company's activities are in compliance with latest statutory and regulatory requirements
• Participate in the development & implementation of compliance controls included compliance checking, clearance of staff dealing, suspicious transaction reporting, maintenance of watch list/restricted list etc.
• Handling SFC and external enquiries
• Analyse the testing and controls procedures to ensure that the compliance monitoring is conducted effectively
• Review and approve client KYC / due diligence reports
• Responsible for overseeing the KYC process

Requirement:

• Bachelor degree from a reputable university majoring in Law, Accounting, Business, Finance or a related discipline
• Minimum 3 years solid compliance experience, preferably in brokerage house / finance group
• Familiar with the Securities and Futures Ordinance, SFC rules and regulations
• Good knowledge in investment products, fund setup and practices in FATCA/ CRS/ AML/ KYC are definitely advantageous
• Fluency in written English and Chinese, with verbal fluency in Mandarin