- Assist the Compliance Head to handle full spectrum of Compliance matters.Work with 1 subordinate.
- Handle SFC’s cases and enquiries, including the licensing , complaints and investigations.
- Supervise and review on the compliance testing performed by subordinates, and prepare monthly report to the management.
- Update the compliance manual and complaint policy, to ensure the compliance of Securities and Futures Ordinance, Code of Conduct and AML guideline.
- Ensure all activities and operations are complied to latest regulatory and internal requirements
- Conduct compliance reviews, risk assessments and control testing
- Assist in conducting UAT on system and other ad hoc projects
- Degree or above in related disciplines preferrable
- Minimum 5 year experience related experience in Securities firm / Financial Institutions/ Regulators
- Well versed with compliance and other regulatory requirements
- Detailed-minded with good organization, interpersonal and communication skills
- Proficient in MS office applications
- Good command of written and spoken English and Chinese (preferably fluent in Mandarin)
*** Pls send CV to firstname.lastname@example.org or contact us at 2520 0064 for more informaiton.
HK$40,000 - 50,000
Enquiry: (852) 2520 0064
To apply for this job, please send your CV to email@example.com