Responsibilities:

• Provide prompt, sound and consistent compliance advice, interpretation and recommendation on business and new financial products.

• Co-ordinate and handle enquires from business departments regarding regulatory compliance requirements and provide advice and recommendations.

• Influences and negotiates with seniors across functions and management; may communicate with external consultants and lawyers.

• Establish proper controls, policies and business operation procedures to ensure compliance with legal and regulatory requirements.

• Develop ethical and efficient business reporting frameworks.

• Handle complaint inquiry and other compliance matters or assist projects as assigned by management from time to time.

Job Requirements:

• Bachelor’s degree in law, Accountancy, Business or equivalent.

• At least 4-6 years of relevant experience in Compliance function of Financial Institution with exposure in Retail / Virtual Asset / ECM / DCM / FICC matters.

• Strong understanding of financial market knowledge on products, rules and regulations of capital markets for HK and US markets.

• Well-versed in relevant compliance rules and regulations issued by the SFC.

• Analytical, self-motivated, ability to work under pressure.

• Good Team Player and problem-solving skills.

• Good command of written and spoken English and Chinese (Cantonese & Mandarin).

• Less experience will be considered as Assistant Manager.

SINA新浪旗下互聯網劵商

華盛資本証券有限公司在港發展多年，是目前少數擁有香港證監會牌照的互聯網券商。憑著深厚的金融交易風控經驗及卓越的研發技術，華盛將成為新浪金融版圖中繼支付、理財、貴金屬等業務外，在證券交易及海外資產配置領域的重要佈局。為配合業務發展，現誠邀優秀人才加盟我們的專業隊伍