Job Responsibilities:

• Assist in opening client accounts and conducting customer due diligence including KYC and AML checking 
• Draft and review various agreements, as well as compliance policies and procedures
• Assist in designing and implementing relevant compliance monitoring and reviews to ensure all business activities are in compliance with the applicable legal and regulatory requirements
• Provide advisory services to the management and various business units 
• Assist in handling licensing applications, filings with SFC and CGSE, as well as updating CPD records 
• Liaise with external regulatory authorities (e.g.SFC and CGSE), legal counsels and/or external consultants where required
• Keep abreast of the market and regulatory updates, and ensure the staff members are aware of those changes 
• Ensure our business is in compliance with all applicable laws, regulations and operational risk control procedures
• Perform other ad hoc tasks from time to time. 

Job Requirements:

• Bachelor degree in Business Law, Economics, Finance, Accounting or other related disciplines; with law background such as LLB/ JD/ LLM degree are highly desirable 
• Minimum 4years’relevant experience, preferably gained from local regulators, and/or compliance departments of securities brokerage firms; with exposure to handling paralegal related tasks an advantage
• Experience in dealing with SFC/ CGSE a plus
• Mature, hardworking, a good team player, with strong sense of responsibility, good inter-personal and communication skills 
• Able to handle multi-tasks, and to work independently under pressure and tight deadline
• Good command of both spoken and written English & Chinese; proficiency in Putonghua an advantage