Responsibilities:

• Back by independence compliance consulting firm, to oversee compliance issues on RA1 and 9, including but not limited to:-
• Give management advice on compliance issues or transaction due diligent
• Assist departments to develop and enhance policies and procedures as well as proper internal control to ensure Company's activities in compliance with latest statutory and regulatory requirements
• Coordinate and advise on AML / KYC assessments and transaction monitoring on AML
• Perform internal review to ensure the dealing activities, business and operations are in compliance with regulatory requirements
• Handle customer complaints and conduct necessary investigations for addressing inquiries from the regulators such as the SFC
• Arrange and coordinate compliance / AML training
• Handling Licensing matters
• Review contracts and agreements
• For Manager Post, register with SFC as MIC for AML & Compliance core function 

Requirements:

• University graduate prefer in Law, Risk Management, Accounting or Finance
• Compliance experience gained in a mid-sized securities firm preferable
• Good knowledge of the SFO, SFC codes and Guidelines and the HKEx Rules and Regulations
• Strong analytical, problem solving, presentation and communication skills to interact with all levels of stakeholders
• Good attention to details and high accuracy in work
• Excellent command in spoken and written English and Chinese
• Candidate with more experience will be considered as Compliance Manager

We offer attractive remuneration package and fringe benefits to the right candidate. Interested parties, please send your detailed resume stating last and expected salary to Human Resources Department by clicking “APPLY NOW”.

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