RESPONSIBILITIES:

• Liaise with the regulators, auditors and legal counsel on compliance matters;
• Handling correspondence with the SFC and the regulators
• Monitoring the margin financing, credit risk control and daily trading activities in order to avoid the occurrence of fraud and irregularities
• Ensuring the compliance policies are properly developed, monitored and complied with the regulations and guidelines of the Securities and Futures ordinance
• Participate in overall efforts to ensure the proper implementation and continuous updating of the compliance program
• Assist the relevant business units and the Compliance functions and advise management in complying with all relevant external regulations and internal codes and policies and good market practices
• Undertake ad hoc projects, benchmarking and monitoring as required by senior management

REQUIREMENTS:

• Professional degree holder with 3 years' solid legal or compliance experience in securities brokerage firm or fund house or investment bank or sizable financial institution
• Good knowledge in SFO, securities regulations, corporate finance, operations, products and services in licensed corporations. Able to handle compliance matters for brokerage, mutual funds, investment banking, etc.
• Familiar with regulatory bodies both in Hong Kong and China
• Experience in margin financing and asset management preferred
• Persistent and mature in personality and effective in communications
• Good command of written and spoken English and Chinese (including Putonghua will be an advantage)
• A good team player, smart quick learner, self-motivated, ability to work under pressure, strong sense of responsibility and discipline with good communication skills

We offer competitive remuneration package & career prospects to the right candidate. Interested parties please apply with resume showing availability, current and expected salaries by email to cthkco@gmail.com

財通證券（香港）有限公司（以下簡稱“財通（香港）”）是財通證券股份有限公司（以下簡稱“財通證券”）的全資子公司。經中國證監會批准在香港註冊設立。

財通（香港）旗下的財通國際證券有限公司已獲發香港證監會第一類受規管活動牌照（證券交易）及第四類受規管活動牌照（就證券提供意見）；旗下的財通國際資產管理有限公司已獲發第一類受規管活動牌照（證券交易）、第四類受規管活動牌照（就證券提供意見）及第九類受規管活動牌照（提供資產管理）；旗下的財通國際融資有限公司已獲發第一類受規管活動牌照（證券交易）及第六類受規管活動牌照（就機構融資提供意見）。

財通（香港）是財通證券應對金融業對外開放、實施國際化戰略的重要平臺。公司秉承母公司“規範經營、穩健發展、務實創新、追求卓越”的經營理念，依託母公司強大的資產實力和雄厚的客戶基礎，憑藉香港國際金融中心的獨特優勢，充分利用香港的人才優勢和豐富的金融產品及資本優勢，為國內投資者提供更廣闊、多元化的金融服務，同時為國際資本尋求和挖掘內地的投資機會。