Duties:

• Review and keep up-to-date compliance policies, documents and procedures.
• Review business documents and operation flow and related materials to ensure compliance of relevant laws and regulations.
• Provide compliance and regulatory advice for all business transactions and new business initiatives.
• Perform compliance reviews and self-assessments in accordance with regulatory and internal requirements.
• Conduct compliance policy training, complaint handling, review of marketing materials and regular filing to regulators
• Liaise with the relevant regulators and external parties on compliance and regulatory issues
• Take care of licensing issues and conduct monitoring activities
• Handle ad-hoc projects assigned by senior management
  
  
  

Requirements:

• Degree in Law, Business or related disciplines
• At least 2-3 years of compliance experience gained from Hong Kong securities business
• Relevant compliance experience with asset management would have added advantage
• Familiar with SFC regulations, AML and other relevant legal and regulatory requirements
• Good command of English and Chinese and fluent Putonghua
• Strong organizational skills and report writing skills
• Reliable with integrity, responsibility and strong commercial sense
  
  
  

Interested parties please click "Apply Now" to submit your application

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