Job Responsibilities

- Liaise with Securities and Futures Commission;

- Review policies and procedures and provide input to ensure compliance with applicable legal and regulatory requirements;

- Perform ad-hoc compliance projects;

- conduct regular compliance reviews and checking on client investment suitability management, staff dealing, individual and corporate licensing, account-opening; and

- Ensure compliance of the acts of the company and the staff with all relevant laws, rules and guidelines regulating trading in securities.

Requirements

- Degree in Accountancy, Finance, Law or related subjects;

- Proficiency in MS Word, Excel, and Chinese Word typing;

- Good command of Cantonese and English;

- Command of Mandarin is a plus;

- At least 2 years compliance experience in financial industry;

- Well-organized, good interpersonal and communication skills, able to work under pressure and responsible; and

- Well versed with SFO, KYC, AML Guidelines and other regulatory requirements.

We offer an attractive remuneration package to the right candidate. Interested parties, please send your detailed resume with current and expected salary to the Human Resources Department by clicking APPLY NOW.

Data collected will be used for recruitment purposes only and personal data of unsuccessful applicants will be destroyed after 12 months.