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, revising and drafting internal manuals, policies and procedures to ensure in compliance with rules and regulation of the SFC and HKEx
• Liaise with regulators, legal consultants
• 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