Responsibilities

• Directly reporting to senior management and assist in leading a team of 3 (including 2 legal & 1 compliance)

• Keep track of regulatory requirements, review and update internal control policies

• Undertake regular compliance monitoring reviews Advice and support other business units on compliance functions, including but not limited to Securities Institutional Brokerage, FICC Business, Corporate Finance (IPO, DCM, ECM) and Asset Management, Direct Investment etc.;

• AML/ KYC Matters

• Oversees company secretarial matters

• Coordinate and liaise with regulatory authorities on enquiries, reporting, inspection or investigation

• Assist in developing and delivering compliance training (CPT)

• Handle complaint, investigate special cases and assist in ad hoc projects as assigned;

• Provide guidance to junior staff of Legal & Compliance Department and compliance

• Perform ad-hoc duties as assigned by senior managements

Requirements:

• Degree holder in Finance, Accounting, Economics or related disciplines

• At least 10 years of related experience with at least 5 years of supervisory experience 

• Hands-on and willing to work in a small but growing team

• Solid business compliance experience 

• Solid knowledge of SFC rules and guidelines and regulatory requirements is a MUST

• Excellent command in English and Chinese (spoken & written)

For interested candidates, please send us your updated resume with your 1) current salary 2) expected salary 3) notice period.  All personal information collected will be strictly used for recruitment purpose only.