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.)
• Perform other ad-hoc projects and assignments as required

Requirements:

• Degree in Accountancy/ Finance/ Law and related subjects is preferred;
• Min 2 years compliance experience, preferably in brokerage house
• Familiar with the Securities and Futures Ordinance, SFC rules and regulations
• Good command of written and spoken English, Cantonese and Mandarin
  
  

Interested parties click "APPLY NOW" to submit your application.
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