Responsibilities:

• Handle enquiries from regulatory bodies together with licensing matters

• Perform different compliance functions in accordance with SFO & HKEx

• Perform AML investigation, checking, monitoring and KYC review

• Assist in monitoring staff dealing activities and maintaining restricted trade lists

• Assist in conducting investigations into suspicious transactions and handle compliant cases

• Establish compliance control and coordinate with business operation units to ensure adequate compliance oversight

• Prepare regulatory and internal/external compliance reports/documents

• Provide advisory and support to business operation units on compliance matters

• Maintain a record keeping system for Legal and Compliance Department

 Requirements:

• Degree holder with major in law, finance, economics or related disciplines

• 2-3 years relevant experiences in SFC regulated activities

• Familiar with Type 1, 4, 6 and 9 license related business under SFC regulation

• Good knowledge of SFO & its subsidiary rules, AMLO, codes & guidelines of regulatory authorities

• Good knowledge of the securities and futures market is an advantage

• Good communication and interpersonal skills

• Good command of both spoken and written English and Chinese

Please visit our website http://www.ifgfh.com for details.

Interested parties please send full resume, date of availability and present salary by clicking "APPLY NOW"

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