RESPONSIBILITIES

l   Responsible for handling SFC enquiries and other licensing matters;

l   Liaise with regulatory authorities in relations to rules update or related requirements;

l   Review and update compliance policies and procedures in alignment with latest regulatory requirements;

l   Assist with regulatory inspection and prepare documents required by the SFC;

l   Perform other compliance tasks including Licensing and AML/KYC related matters;

l   Assist in drafting and reviewing agreements and other relevant documents;

l   Track regulatory guidelines/circulars and coordinate with internal stakeholders on implementation plans;

l   Conduct regular compliance checks; and monitor policies’ implementation with regards to updated regulatory requirements;

Requirement

l   Undergraduate Degree in Law, Accountancy, Finance, or related disciplines preferred;

l   At least 3 years of experience in compliance preferably with a licensed corporation with SFC Types 1, 4 licenses;

l   Sound knowledge of SFO and other relevant codes and regulations from various regulators e.g. SFC, HKEX, Companies Registry, etc.;

l   Detail-oriented and highly motivated mindset;

l   A team player with strong communication and analytical skills;

l   Strong command of both written and spoken English and Chinese;