Job Responsibilities:

• Overseeing and monitoring the regulatory, compliance, operational risk;
• Coordinate and liaise with regulators/authorities such as SFC and handle their enquiries  and/or investigations regarding type 1, 4 and 9 licenses issues;
• Develop, implement and conduct training on AML, regulatory and compliance matters;
• Formulating, developing compliance policies and procedures and monitoring trade and transactions
• Advising on compliance issues and handling licensing, CPT monitoring matters and attending to enquiries from regulators
• Preparing, drafting and reviewing legal documentations
• Other ad hoc jobs as may be assigned by the company from time to time

Job Requirements:

• Degree holder in Laws or related disciplines over at least 3 years relevant experience gained from finance field, preferably asset management and securities companies.
• Good knowledge of Hong Kong regulatory regime, familiar with relevant codes and rules, experienced in dealing with regulators
• Familiar with Type 1, 4, 9 license related business under SFC regulation.
• Well-versed with Securities and Futures Ordinance and HKEX regulations
• Good command of written English and Chinese and excellent communication skills。

Please submit your full resume, CE No. and current & expected packages to us via JobsDB. Applications with insufficient information will not be processed.