Responsibilities:

• Assist in liaising with HKEX, SFC and other regulatory organizations for all compliance and licensing matters;
• Keep abreast of updated compliance policies and procedures, and information on regulatory requirements and provide staff training if needed;
• Conduct AML, compliance and operation risks review, including the monitoring of sales activities and perform account transaction review;
• Assist the RO's in drafting and revising operational procedures, manuals and other relevant forms and documents;
• Provide advisory and support to business operation units on compliance matters;
• Perform regular compliance assessment and conduct incidents investigations; and
• Perform ad hoc projects and assignments as required.

Job Requirements:

• Degree holder in related discipline;
• Minimum 4 years’ compliance experiences in a securities firm;
• Good understanding of SFC codes and regulatory requirement of securities intermediaries
• Responsible, well-organized and able to work independently;
• A team player with strong communication and analytical skills as well as high degree of professional maturity;
• Knowledge of securities and investment products and their operation is an advantage but not compulsory; and
• Good command of English, Cantonese and Mandarin.

Interested parties please send us full resume stating expected salary and available date by clicking the button of Apply Now.

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