Responsibilities:

• Handle the SFC licensing matters of the company and staff;
• Liaise with regulators (such as the SFC) and relevant parties to facilitate regulatory requests, examinations, questionnaires, surveys, investigations, and reporting requirements;
• Provide internal compliance advice and implement compliance reviews as set forth in the internal compliance policies and procedures;
• Review and draft business contracts;
• Maintain and update compliance manuals and policies;
• Disseminate laws and regulations issued by regulators and coordinate gap analysis with business units;
• Provide training to staff and promote compliance awareness;
• Handle ad-hoc projects as may from time to time; and
• With experience to deal with compliance of OTC or structured products is highly advantage

Requirements

• Bachelor's degree holder in Business/Finance/Law with at least 3 years of experience in Compliance of SFC licensed corporations;
• Sound knowledge of SFC guidelines, rules and regulations , as well as local best practices;
• Proficiency in both written and spoken English and Chinese (including Mandarin); and
• Strong analytical, interpersonal and communication skills

Founded in 2014 and licensed by the Securities and Futures Commission (SFC) of Hong Kong since 2015, we are the only licensed and independently owned financial products wholesale platform in Hong Kong offering products and services exclusively for Professional Investors as defined in SFO.