Job Responsibilities:

• Develop review compliance policies and procedures.
• Handling licensing, registration and other regulatory applications.
• Assisting with the development of compliance training programs and conducting trainings.
• 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;
• 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.
• Conducting and internal investigations and compliance reviews.

Job Requirements:

• University degree in Accounting, Finance, Law or other related discipline;
• Good written and verbal communication skills in English and Chinese, with Mandarin being advantageous.
• Self-initiative, independent and willing to work under pressure;
• 4-8 years regulatory / compliance experience.
• Sound Hong Kong securities regulations knowledge. Proficient in SFO and its application; well-versed with trading rules and Listing Rules will be advantageous;
• Strong analytical and problem solving skills.

Interested candidates, please send your application letter and resume together with current and expected salary as well as availability date by email to hr@raffaellocap.com. Personal data collected will be treated in strict confidence and used for recruitment purpose only.