Responsibilities:

• Coordinate and liaise with regulatory authorities on enquiries, reporting, inspections and investigations
• Propose comments in legal and compliance perspective to the Management and business units (especially for Investment Banking Department and Fixed Income Department) on new business ideas, policies and procedures, and legal documents.
• Conduct compliance surveillance programs and compliance monitoring/ reviews and ad-hoc investigations
• Formulate/ update policies and procedures to standardize operational processes to ensure relevant compliance standards are properly complied with
• Develop and conduct compliance trainings in accordance with relevant regulations and training objectives
• Assist in handling SFC licensing for all staff member as well as the licensed corporations and the relevant reporting obligations
• Assist in company secretarial duties and liaison with the Compliance Department of Parent Company

 Requirements:

• Bachelor degree in business, finance, law or related field
• Minimum 5 years of legal and compliance experience in the financial services industry (Preferably with sound understanding of investment banking and fixed income business compliance knowledge)
• Well versed with the SFO, the AML Guidelines and other relevant rules and regulations
• Experienced in dealing with regulators with excellent negotiation skills
• Responsible, detail-minded, well-organized with good communication skills, and with the ability to handle multiple tasks independently
• Good command of written and spoken English, Cantonese and Mandarin

Candidate with less experience may be considered as Senior Compliance Officer

We offer competitive remuneration package & career prospects to the right candidate. Interested parties please apply with resume showing "AVAILABILITY, CURRENT and EXPECTED SALARIES" by quick bottom.

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。