Main Responsibilities:

• Handle SFC enquiries and SFC licensing matters
• Keep abreast of regulatory developments and provide regulatory updates and compliance advice on business initiatives
• Monitoring of standard business activities, functions and practices to ensure compliance with regulations and policies
• Work closely with back office, front office, internal and external auditors and regulatory authorities on compliance issues
• Assist in establishing and developing appropriate and effective internal compliance policies and procedures on any new regulatory requirements and business activities
• Perform any ad-hoc tasks assigned

Qualifications & Requirements: 

• University Degree in Accounting, Economics, Finance or related discipline
• Minimum 2 years of compliance experience in the securities industry
• Good understanding of the operation flow and procedures of stock brokering business
• Solid knowledge of regulatory requirements (AML, KYC and SFC regulations)
• Strong English skills preferred, excellent writing skills required
• Skills in reading of Simplify and Traditional Chinese is a must
• Traditional Chinese typing skills required
• Immediate available is highly preferred