Responsibilities：

1. Act as Assistant Compliance Manager/ Compliance Manager in Fintech Securities brokerage Business
 
2. Act as AM/M role to ensure that daily operations comply with Hong Kong SFC and/or other regulatory requirements in different markets

3. Act as AM/M role to liaise with regulators and other key stakeholders.

4. Act as AM/M role to perform and review regular compliance checking

5. Undertake investigations into businesses and stakeholders on the implementation of adequate procedures and controls, design underlying documents list and issue review reports

6. Review and investigate Trade and Communication surveillance alerts

7. Communicate with Compliance officers, internal business users, technology and other departments on enhancing surveillance processes

8. Support compliance team for other compliance matters / Ad hoc matters

Requirement：

1. Bachelor’s degree or higher required.

2. At least 3-5 year work experience as a AM / Compliance Manager in SFC LC.

3. Familiar with the Brokerage and Asset Management industry.

4. Ability to identify suspicious transactions as well as recommend solutions to reduce those risks.

5. Successful candidate must be detail-oriented and highly confidential.

6. Degree in Finance, Economics, Business or other related disciplines preferable.

7. Proficiency in written and spoken English and Chinese, Fluent in Mandarin.