Job Description

Report to Head of Compliance, you will need to:

• Update compliance policies and procedures and coordinate with business units to ensure due compliance with regulatory requirements (SFC regulated activities Type 1, 4, 6 & 9);
• Perform surveillance exercise on internal controls and compliance procedures to ensure full adherence with internal policies and external regulatory requirements;
• Assist in handling licensing related matters, CPT activities and dealing with regulatory bodies, including SFC and HKEx, etc.;
• Assist in monitoring staff dealing activities and maintaining the Group’s restricted list and watch list;
• Involve in company secretarial duties and record keeping for Group’s subsidiaries and associated entities; &
• File and monitor Disclosure of Interests notification in compliance with HKEx rules;
• Assist in Funds setting up works by coordination with lawyers, bankers and fund administrator;
• Handle ad hoc duties as assigned by team head from time to time.
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Requirements:

• Degree in Law, Accounting; or related disciplines preferred;
• Minimum 2-3 years relevant experience preferably in brokerage house, asset management house or compliance consulting company;
• Possess some basic knowledge of investment funds set up would be advantageous but not a must;
• Good command of both written and spoken English and Chinese, including Putonghua; &
• Hard working, self-motivated, independent and good sense of responsibility, good interpersonal skills.