Job Description:

Assisting the CEO to:

• Handle all RI registration related matters
• Formulate and develop the compliance controls in the Company and identify the proper action for improvements
• Implement and review procedures and policies in ensuring compliance with various rules, regulations and guidelines
• Ensure observance with applicable laws, rules and codes including prompt filing of regulatory returns.
• Identify compliance issues and monitor changes in the legal and regulatory requirements.
• Draft and review agreements
• Perform compliance checking to monitor the operation of the company.
• Identify and evaluate the significant risk and loss reporting
• Perform compliance review to ensure compliance with legal and regulatory requirements
• Handle other ad hoc assignments as required.

Requirement:

Qualification (Academic & Professional):

• Law related degree or training preferred; or Bachelor’s degree in Accounting, Finance, or Economics

Experience required:

• Minimum 5 years relevant experience with financial industry or regulatory bodies
• Knowledge and experience in Securities and Futures Ordinance
  and related codes
• Regulator experience is a must
• Working experiences in asset or wealth management business a plus

Competencies/Personality:

• Independent, self-motivated, conscientious, confident and with good interpersonal skill
• Able to work independently and under pressure
• Strong computer skills in Work and Excel

Language & Other Skills:

• Good written and verbal communication skills in English and Chinese/ Cantonese and Mandarin

We offer attractive remuneration, excellent career opportunities, 5-day work and medical insurance. Interested candidates please send your CV and expected salary to the Human Resources Manager via email to hr@ffgwm.com

As a member of the Frontier Financial Group (www.ffgwm.com), we are a versatile financial services group specializing in providing private wealth management and investment banking services to high net worth individuals, institutional and corporate clients. Frontier Financial Group (FFG) holds Types 1, 4, 6 and 9 licenses granted by the Securities and Futures Commission of Hong Kong.