Responsibilities:

• Perform daily compliance monitoring duties
• Review and establish rules and regulations for compliance issues
• Conduct compliance audit for business units
• Handle communication and enquiry with external regulatory institutions, e.g SFC and Company Registry.
• Book keep on change in company information, license holder and RO issues
• Handle complaints and file keeping
• Conduct compliance training for internal staff

Requirements:

• Degree holder or above in Finance/Law or other related disciplines
• At least 5 years relevant experience in finance and securities firm
• Excellent communication and problem skills, extreme attention to detail
• With SFC R.A. 1 qualification preferred
• Proficient in spoken and written Chinese and English