Responsibilities:

• Perform regular quality assurance and monitoring field work related to regulated activities
• Assist in internal audit on various business units, processes, practices and procedures
• Prepare internal audit reports and analysis
• Investigate and analyze the deficiencies found and make detailed and timely communication and follow-up actions
• Assist in formulate and review general compliance manual, AML and other internal policies and procedures
• Assist in dealing with HKEX, SFC, IA and other regulatory organizations for all compliance and licensing matters
• Assist in responding to enquiries from regulators
• Work with external parties such as lawyers and auditors
• Support ad-hoc projects related to the quality control or compliance

Requirements

• Degree holder of Accounting, Finance or Business Administration disciplines
• 3-5 years’ relevant compliance and audit experience gained in financial institutions or brokerage house
• Well-versed with Securities and Futures Ordinance, HKEx and Insurance Authority regulations
• Proficient in MS Office especially word, excel and powerpoint
• Excellent communication skills in English, Putonghua and Cantonese (spoken & written)
• Strong sense of responsibility, well organized, self-motivation, good team player and able to work independently under pressure
• Immediate availability is highly preferred