Responsibilities

• Manage licensing matters with SFC, and answer relevant enquirers
• Act as contact person with relevant regulatory bodies such as SFC and HKEx
• Provide compliance advise to management and business units/back office on compliance-related issues
• Monitor complaint handling process to ensure complaints are properly followed-up as instructed by SFC and in accordance with internal requirements
• Draft, review and revise internal manuals, policies and procedures from compliance perspective to ensure compliance with regulatory bodies
• Prepare and review compliance checking programmes and departmental operational procedures
• Assist the Head of Compliance training to conduct compliance training; (regular)
• Perform ad hoc projects as required

Requirements

• Degree holder in Accounting, Finance, Law, Risk or other related disciplines
• At least 5 years of related working experience in financial industry, highly prefer in securities industry
• Strong knowledge in SFC rules and regulations in respect to Type 1, 2, 4, 5, 6 and 9 regulated activities;
• Proactive, hands-on, detail-oriented, able to handle multiple tasks, and adaptability to a small team environment and high standards for accuracy and quality
• Excellent command of written and spoken English and Chinese, fluency in Putonghua
• Independent, self-initiative and good interpersonal skills, and willing to work under pressure

 Attractive remuneration will be offered to the right candidate.  Interested parties please email your full resume with present & expected salary and date of availability to via "Apply Now".

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