Job highlights:

• Fast growing financial institute
• 2 – 5 years compliance experience
• SFC RA Type 1 and 6 (IPO sponsor)

Responsibilities

• Perform and handle all compliance duties related to the company (RA 1 and 6)
• Liaise with SFC, HKEX and other regulatory organizations for all compliance and licensing matters
• To conduct internal compliance review and control, to ensure compliance policies and procedures are maintained and followed
• Ensure operation policies are fully implemented and assist in developing, updating and reviewing policies, procedures, guidelines from the compliance perspective
• Arrange CPT, handle licensing matters and review contracts
• Handle customer complaints and conduct necessary investigations for addressing inquiries from the regulators such as the SFC
• Register with SFC as MIC for AML & Compliance core functions

Requirements:

• University graduate in Finance, Law or related disciplines
• 2 to 5 years in securities, brokerage and compliance experience dealing with Type 6 regulated activities in major investment banks or SFC licensed corporations with Sponsor License
• Sound knowledge of SFO, SFC codes and Guidelines and the HKEx Rules and Regulations
• Good command of written and spoken English, Chinese and Putonghua
• Candidate with more experience will be considered as Compliance Manager

Package:

• 5 days
• Group medical