Responsibilities:

• Handle SFC licensing matters;
• Update compliance policies and procedures, and information on regulatory requirements;
• Liaise with regulatory authorities;
• Perform surveillance for trading activities;
• Involve in new products launching procedure, providing day-to-day compliance advice to different business lines
• Review and approve client AML/ KYC / due diligence reports
• Oversee the AML/ KYC process · Perform central compliance functions (conduct staff training / CPT monitoring / reporting functions, etc.)
• Ad hoc projects and administrative/clerical duties

Requirements: 

• Degree in Accountancy/ Finance/ Law and related subjects is preferred;
• minimum 5 years compliance experience, preferably in brokerage house
• Familiar with the Securities and Futures Ordinance, SFC rules and regulations, especially in respect of regulations about online account opening process
• Good command of written and spoken English and Cantonese