Responsibilities:

• Oversee the general compliance

• Ensure daily operations comply with Hong Kong SFC and/or other regulatory requirements in different markets

• Carry out regular compliance check at front, middle and back offices
• erform and review regular compliance checkin

• Review and investigate Trade and Communication surveillance alerts
• Review legal&compliance documents

• Review, revising and drafting internal manuals, policies and procedures to ensure in compliance with rules and regulation of the SFC and HKEx
• Handle inquiries from regulators, e.g. the SFC and HKEx, and listing companies
• Conducting AML/KYC checking and other necessary investigations
• Formulate, review and update policies and procedures
• Preparing compliance training to staff

Requirements:

• Degree holder in finance, law or related disciplines is preferable
• At least 3-4 year work experience as a General Compliance in SFC LC.
• Familiar with rules and regulations of the SFC and SEHK
• Able to work independently, self-motivated with strong sense of responsibility and analytical mind
• Good command of English, Cantonese and Mandarin
• Proficiency in MS Word, Excel

Links International is an award-winning industry leader in innovative human resources outsourcing in Asia. Links was established in 1999 and has offices in Hong Kong, Singapore, Shanghai, Macau and Zhuhai, Vietnam, Malaysia, Thailand and Australia.

We offer a broad range of services, ranging from both retained and contingent recruitment, to payroll and visa processing, designed to cover all aspects of your human resources processes, enabling your team to focus on higher value, strategic activities.