Job Duties

1. Advise management and relevant business units on compliance-related matters.

2. Advise management and relevant business units on compliance-related matters/ issues, including the review of new products/ services from a compliance perspective.

3. Develop policies & procedures and related guidelines; and review and comment on P&P, marketing materials, advertisements, etc. prepared by other departments/ business units, to promote compliance with applicable legal and regulatory requirements.

4. Liaise with management, business, operations and other relevant departments, auditors and regulatory authorities on compliance matters and issues.

5. Perform follow-up reviews to verify the implementation of recommendations from regulators, external and internal auditors, assist to resolvecompliance-related findings and issues identified.

6. Keep abreast of the latest legal and regulatory requirements. Promote company's compliance awareness and compliance culture (including preparation of compliance training materials and conducting compliance trainings).

7. Design compliance surveillance programs and conduct compliance monitoring and reviews on products and business unitsunder the VP’s responsibility area. Handle ad-hoc investigations, customer complaints, suspicious transactions reviews etc. Report any non-compliance in accordance with protocols and suggest actions for resolution, compliance improvement planning etc.

    

    

   Job Specification:

    

1. Qualification

   -University degree in Accounting, Business, Law or related discipline

    

2. Experience                

    - 7 years solid experience in compliance, audit or related field in the financial services sector or with regulatory authorities

   -   Experience in performing compliance or similar training, development of policies and procedures (and related guidelines), and the conduct of compliance review and investigations.

    

    

3. Knowledge  / Other     

   -     Sound working knowledge of (i) the SFO and subsidiary regulations; and (ii) other regulations which may be relevant to company's business activities

   -     Good command of written and spoken English and Chinese.

   -     Strong ethics, integrity and enthusiasm.

   -    Good leadership, communications (oral & written), interpersonal, analytical and presentation skills.

Salary will be commensurate with qualification and experience. Fringe benefits package will be offered to the right candidate. Please apply with resume with full personal details, employment history, current and expect salary together with contact details, and click "APPLY NOW"

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