- Review the company’s current and new business to ensure product and services are in compliance with all relevant rules and regulations
- Handle SFC license applications, requisite filings, notifications and liaising with SFC in relation to the license matters, etc.
- Monitor record of and provide continuing professional training (“CPT”) materials to relevant staff
- Handle employee dealings, restricted list control and other corporate surveillances issues
- Provide compliance support in reviewing legal documents, website materials and research report
- Undertake regular compliance monitoring reviews
- Liaise with regulatory authorities on enquiries, reporting, inspection and/or investigation
- Update and/or enhance internal policies and procedures to ensure they timely reflect current rules and regulations, industry best practice and changes in business structure / activities
- Degree in Law, Accounting, Finance or other related discipline
- 2 – 3 years’ relevant experience
- Understand SFO and related regulatory requirements
- Good command of spoken & written English, Cantonese and Mandarin
- Independent and willing to work under pressure
Interested parties please send your FULL RESUME (in MS Word format) with availability, current and expected salary to firstname.lastname@example.org or you can call us at (852) 2520-0284 for more information.
For more job opportunities, please visit our career wonderland at http://www.levin.com.hk
To apply for this job, please send your CV to email@example.com