Job Responsibilities

• Provide practical compliance advice for type 1 and type 9 business
• Formulate and update internal policies and procedures to ensure relevant laws and regulations and compliance standards are complied with
• Monitor the implementation and enforcement of internal company policies and external laws and regulations (i.e. SFC/ HKEX requirements)
• Conduct compliance review and AML checking
• Provide staff training related to compliance guidelines and requirements
• Liaise with SFC for any inquiries and requests
• Handle on-going SFC reporting matters
• Assist in consultation raised by operation teams relating to compliance issues, including due diligence and AML/KYC suitability policy
• Perform ad-hoc tasks and projects

Job Requirements

• University degree
• 3-4 years of relevant experiences in type 1 and/or type 9 SFC licensed corporations
• Sound knowledge of the SFO and SFC Codes and Guidelines
• Knowledge of HKEX Rules and Guidance is an advantage
• Detail-oriented, self-motivated and able to work independently
• Excellent written and spoken English and Chinese
• Immediate available is highly preferred

We are a subsidiary of LFG Investment Holdings Limited, a company listed on the Main Board of the Stock Exchange (HK.3938), and a licensed corporation under the SFO to carry on Type 1 (dealing in securities) regulated activity under the Securities and Futures Ordinance and is an Exchange Participant of The Stock Exchange of Hong Kong Limited. Lego Securities provides securities dealing and brokerage services, margin financing and underwriting and placing services for subscriptions in initial public offerings and secondary offerings such as rights issues, open offers and private placements.