Scope of Work:

• has a record of integrity and commitment to compliance
• has access to expert knowledge or relevant laws, regulations and standards and has access to professional advice in implementing compliance with those laws
• maintains knowledge of compliance issues and the relevant legislation, rules and standards
• ensure that all activities are in compliance with all applicable legal and regulatory requirements of Securities and Futures Commissions, ensure that accurate and timely reports are submitted to the relevant authorities
• develop, maintain and review written compliance policies, procedures and handbooks
• coordinate and develop training plans for compliance education purpose

工作範圍：

• 有廉潔的記錄以及對合規的承擔；
• 有接觸專家知識或相關法律、法規和標準的管道，並能夠接觸符合該類法律的專業意見；
• 熟悉合規議題和法例、條例以及標準的知識；
• 確保所有活動都符合證券及期貨事務監察委員會適用的法律及監管要求，確保向有關當局提交準確而及時的報告；
• 發展、維持及評審書面合規政策、程式及手冊；
• 統籌和發展為合規教育用途而設的培訓計畫；

Requirement:

• a Degree holder with a minimum of 5 years of Compliance experience with securities institutions.
• sound understanding of SFO, regulations and guidelines of relevant regulatory authorities
• excellent interpersonal skills，good command of spoken Cantonese and Mandarin, and read/ write Chinese.

經驗和能力要求:

• 大學本科以上學歷，最少5年以上證券公司法律合規監管方面的從業經驗；
• 瞭解證券及期貨條例及其他相關規定；
• 良好溝通能力, 包括流利普通話、廣東話