Responsibilities:

• Implement compliance policies and procedures;
• Assist in compiling operational/internal control procedures if needed, reviewing the compliance manual and other documents, updating SFC Rules and Guidelines including Code of Conduct and Anti-Money Laundering Guideline, etc. and circulate to staff for compliance purpose;
• Prepare application, notification, annual return, survey and any ad hoc reports as required by SFC and to assist in handling SFC enquires and the related investigations;
• Prepare necessary notification for filing to the stock exchange when clients have transactions which trigger notification under the Listing Rules;
• Review advertisement, marketing materials and webpage for adherence to regulatory requirements;
• Assist to conduct internal investigation, trade and telephone surveillance monitoring, maintenance of standing authorities from clients;
• Perform routine review on staff personal dealing and maintenance of records;
• Deliver and arrange training for compliance-related topics to increase compliance awareness;  maintenance of CPT records for licensed staff;
• Provide compliance advice in respect of existing and new regulatory requirements and assess their potential impact;
• Take up ad hoc compliance-related tasks such as new business or product development.

Requirements:

• University degree in Accounting, Finance, Law or other related discipline;
• At least 5 years of solid compliance experience gained from sizeable securities house; good knowledge in back/middle office operation is preferential;
• Proficient in SFO and its application; well-versed with trading rules and Listing Rules will be advantageous;
• Fluent in written and spoken English as well as Chinese;
• Self-initiative, independent and willing to work under pressure;
• An attitude to work with operations and business line as partners;
• Immediately availability is preferred. 

We offer 5 day-work, bank holiday, birthday leave, volunteers leave, good career prospects & attractive remuneration packages, staff privilege - Green Life Program and fringe benefits for the right candidate. If you would like to take the challenge to stretch your ability and form part of our team, please send your full career details, together with your current and expected salary by email to recruit@sunifg.com

Information provided will be treated in the strictest confidence and used only for recruitment related purposes. To ensure the smooth recruitment process, you are NOT necessary to resend your application within 3 months. All applications will be destroyed after 6 months. Only short listed candidates will be contacted.