Responsibilities:

• Be responsible for all regulatory filings and reporting in relation to the company’s Type 4 & 9 regulated activities;
• Act as the Compliance and AML Manager-in-charge for the company;
• Monitor suitability assessment for Type 4 & 9 regulated activities to meet regulator’s expectation;
• Provide recommendation and research on all legal and regulatory developments and update management the periodically;
• Enforce compliance controls and reviews to ensure licensed individuals and/or the company are complying with the licensing requirements;
• Deliver compliance training to employees and licensed individuals and monitor their CPT requirements; and
• Coordinate with accountants on submission of SFC’s FRR monthly and annual returns.

Requirements:

• Bachelor degree in finance, economics, accounting, law, business administration or any related disciplines;
• Minimum 3 years of experience in compliance preferably with a licensed corporation (e.g. asset management firm) with SFC Types 4 & 9 license;
• Sound knowledge in various financial products;
• Experience in dealing with the SFC for license application;
• Excellent interpersonal and communication skills; and
• Excellent command of spoken and written English, Cantonese and Putonghua.

Less experienced candidate can be considered as Compliance Assistant

We are an asset management company with decent AUM and established track record.

We are inviting high caliber talents to develop and take part in the growth of our business: