Responsibilities:

• Conduct compliance monitoring according to the compliance program
• Handle general compliance related and deal with SFC regulatory
• Handle staff dealing and annual declaration
• Handle trade surveillance to detect and mitigate irregular trades
• Prepare exceptional reports for detecting irregular pattern of IP addresses for internet clients
• Support the delivery of compliance training to staff and licensed person
• Provide administrative support to the department
• Handle ad hoc projects as assigned by management

Skills & experiences required:

• Degree holder 
• With 2 -3 years compliance experience in securities industry 
• General knowledge of Securities and Futures Ordinance and related regulatory requirements issued by the SFC
• Good interpersonal and communication skills
• Fluency in Mandarin, English and Chinese