Location: Hong Kong

Responsibilities

• Establishment and implementation of compliance policy/procedure in accordance with group policy, covering any update of laws and regulations affecting the business;
• Identify and evaluate compliance risks of the operations and business activities for Brokerage business and provide alternative and compliance solutions;
• Cooperate with ROs to ensure operation in compliance with regulatory requirements as well as the Company's internal policies and procedures;
• Assist the ROs in revising operational procedures, manuals and other relevant forms and documents;
• Liaise with internal and external parties such as lawyers, auditors, regulators and the exchanges as an on-going basis;
• Handle licensing issues and information requests from SFC and other business units;
• Perform routine compliance reviewing and monitoring;
• Participate in various ad hoc projects when required.

Requirements

• Bachelor degree holder or above in Law, Business, Finance or related disciplines;
• With at least 3 years adequate compliance experience in Futures Contracts Brokerage Firm;
• Sound knowledge of relevant compliance rules including FATCA, CRS, AML, KYC, and related regulatory requirements issued by regulators;
• Solid experience in communicating with regulators such as SFC and HKEx;
• Strong analytical, problem solving, presentation and communication skills;
• Proficiency in spoken and written English, Cantonese and Mandarin.

Salary: Negotiable

Please send us your resume (in PDF or MS Word format), including your availability, previous and expected salary. Please click "Apply Now" to submit your application.