Job Description:

• Handle SFC licence application & notification e.g. RO application/Director/MIC/Annual Return submission
• Review daily operation and verify trade records
• Review holding company corporate action and HKEx announcement for SFC updating
• Review account opening & verify documentation in line with AML & CTF
• Review account opening forms & agreement in compliance with legislations, rules & regulations
• Review company operation manual & compliance manual are complied with regulatory requirements.
• Review enquires for disclosure of interests from listed company or its agent under s.329 SFO
• Handle Foreign Account Tax Compliance Act (FATCA) & Automatic Exchange of Financial Account Information (AEOI) registration & reporting
• Review phone recording on trading
• Liaise with SFC, HKEx and other regulators for any inquiries and requests
• Advise on compliance aspects relating to securities, corporate finance, licensing and related matters
• Provide staff training related to compliance guidelines and keep tracking of CPT hours for licensed persons
• Assist in ad-hoc projects as assigned

Requirements:

• University degree preferably in law, finance, accounting or related disciplines
• At least 2 years of solid working experience in compliance or auditing field
• Sound knowledge of SFC regulations and guidelines
• Experience in liaising with SFC and HKEx for license applications
• Familiar with compliance issues such as AML and KYC
• Detail-oriented, mature and able to work independently
• Proficient in Cantonese and English