Responsibilities:

• Responsible for the licensing administration and internal control function within the Group;
• Review the daily trading activities of the Group, including conducting KYC and AML due diligence procedures, monitoring the conduct of regulated activities by our licensed persons and continuous development of our training programs to licensed persons;
• Liaise with external regulatory bodies (e.g. SFC and HKEX), legal counsels and/or consultants where required;
• Formulating, developing compliance policies and procedures;
• Ensure our business is in compliance with all applicable laws, regulations and operational risk control procedures;
• Assist in handling licensing applications, filings with SFC and updating CPD records; 
• Handle inquiries and investigation from various regulators;
• Work closely with back office, front office, internal and external auditors and regulatory authorities on compliance issues; 
• Perform other ad hoc tasks as required from the company or other departments from time to time.

Requirements:  

• Degree or above in Accounting, Commerce, Economics, Finance, Law or other related disciplines; 
• Minimum 5 years of compliance experience in financial institution;
• Experience in handling Type 1, 2, 4 and 9 regulated activities;
• Well versed with Company Ordinances, Securities and Futures Ordinances and other statutory and regulatory requirements on KYC, AML and good knowledge in financial products and commercial practices in SFC regulated activities & money lenders business;
• Good command of spoken and written English and Chinese is required. Proficiency in Putonghua is not a must but will be an advantage;
• Proficiency in PC skills and MS office applications, such as Excel and MS Word;
• Efficient with good time management;
• Mature, independent, self-discipline, proactive, able to work under pressure with good interpersonal skill;
• Immediate available is highly preferred.

We offer competitive remuneration package, our benefits include: 

• Performance bonus
• Education subsidy
• Professional membership fee sponsorship
• Life & medical insurance
• Marriage Leave, Compassionate Leave, Examination Leave etc.
• Public holidays
• Staff purchase discount

Interested parties please send full resume with present and expected salary to Human Resources Department by clicking "Apply Now".