Responsibilities 

• Assist and advise General Manager to develop house level Internal Control Policy, e.g., AML Control, Customer Acceptance Policy, Staff Dealing, etc.
• Help departments in development and enhancement on policies and procedures to ensure Company's activities in compliance with latest statutory and regulatory requirements
• Give management advice on compliance issues
• Perform internal review to ensure the dealing activities, business and operations are in compliance with regulatory requirements, e.g., Transaction Monitoring, etc.
• Handle customer complaints and conduct necessary investigations for addressing inquiries from the regulators such as the SFC
• Arrange and coordinate CPT
• Handling Licensing matters
• Review contracts and agreements
• Register with SFC as MIC for AML & Compliance core functions

Requirements 

• University graduate prefer in Law, Risk Management, Accounting or Finance
• At least 1-2 years general compliance experience
• Good knowledge of the SFO, SFC codes and Guidelines and the HKEx Rules and Regulations
• Strong analytical, problem solving, presentation and communication skills to interact with all levels of stakeholders
• Good attention to details and high accuracy in work
• Excellent command in spoken and written English and Chinese
• Candidate with more experience will be considered as Compliance Manager

We offer attractive remuneration package and fringe benefits to the right candidate. Interested parties, please send your detailed resume stating last and expected salary to Human Resources Department by clicking “APPLY NOW”.

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