Duties & Responsibilities:

• Plan, design and manage compliance surveillance testing and ad-hoc compliance review assignment or investigations;
• Plan, prepare and implement compliance programs and AML transactions monitoring;
• Develop and conduct compliance training;
• Handle enquiries from the regulatory authorities and other departments on compliance related issues;
• Independently or lead a small team on daily compliance duties;
• Handle ad hoc assignments related to compliance issues.

Requirements:

• Degree holder in Economics, Finance or related disciplines;
• At least 1 years’ experience in the compliance of financial institution;
• Sound knowledge of the Securities and Futures Ordinance and its subsidiary rules, rules and guidelines of the Securities and Futures Commission;
• Solid brokerage, KYC/AML compliance experience is expected; with corporate finance / asset management compliance experience is a plus;
• Solid experience in handling enquiries from local regulators, such as Securities and Futures Commission;
• Detail-oriented and highly motivated mindset;
• Strong written and verbal communication skills;
• Proficiency in Putonghua is a plus.
• More experience will be considered as Senior Officer

We offer attractive remuneration package and fringe benefits including 5-day week to the right candidate.  Interested parties please send your application letter with resume stating present and expected salary to Human Resources Department, Level 17, 28 Hennessy Road, Hong Kong or e-mail to us. (Please quote the reference of the post on the envelope)

All information received will be kept in strict confidence and only for recruitment-related purposes.