Job Description
<span id="mce_marker" data-mce-type="bookmark"></span><span id="__caret">_</span>Job Description:
- Provide practical compliance advice for business such as retail and institutional brokerage, global markets business and businesses of the Group
- Monitor business operation of SFC licensed corporates of the Group and formulate and update internal policies and procedures to ensure relevant compliance standards are complied with
- Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
- Assist in managing the implementation and enforcement of internal company policies and external laws and regulations (i.e. SFC/ HKEX requirements)
- Provide staff training related to compliance guidelines and requirements
- Liaise with SFC, HKEX and regulators for any inquiries and requests
- Assist in consultation raised by operation team relating to compliance issues, including due diligence and AML/KYC suitability policy
- Keep abreast of new regulatory requirements published by SFC, HKEX and FATCA etc
- Perform ad-hoc tasks and projects
Requirements:
- University degree in Law, Finance or related disciplines
- Minimum 5+ years of relevant experiences in financial industry and SFC licensed corporates
- Sound knowledge of the SFO and SFC Codes and Guidelines
- Knowledge of HKEX Rules and Guidance is an advantage
- Detail-oriented, self-motivated and able to work independently
- Excellent written and spoken English, Cantonese and Mandarin
- Candidate with less experience will be considered as Analyst, Compliance
Click "Apply Now" to apply for this position or call Sophia Liang at +852 3180 4960 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.
