Responsibilities:

• Identify and evaluate compliance risks of the operations and business activities for Brokerage and Asset Management businesses(Types 1,2,4,9 Licences ) and provide alternative and compliance solutions
• Provide day to day regulatory advice and guidance on rules and internal policies including AML & CTF and its latest updates; review business processes and new initiatives to ensure compliance with regulatory requirements
• Conduct monitoring activities including desk reviews, thematic reviews and AML & CTF compliance review wherever appropriate for compliance with regulatory requirements
• Draft, revise, update and maintain compliance policies and manuals of the business units as necessary on ongoing basis
• Review, enhance and develop the compliance programs, procedures and guidelines for the business unit
• Deliver in-house compliance training to the business units and provide advice to the management

Requirements: 

• Degree holder, preferably in Finance, Accounting or Law disciplines
• Minimum 1-2 years of relevant hands-on compliance experience in Securities, Asset Management and Finance industry
• Good understanding of SFO and AML & CTF rules
• Strong analytical and problem-solving skills
• Good organizational skills and ability to prioritize work flow
• Strong sense of responsibility, self-disciplined, initiative and work independently
• Proficient in written and spoken English and Chinese (including Putonghua)

We offer competitive remuneration including career prospects to the right candidate. Interested parties please click the "Apply Now" button to send your resume with date of availability,current and expected salary to the Human Resources Department.

(All personal data collected will be treated in the strictest confidentiality and used for recruitment purpose only.)