We invite the high caliber to join us.
- Drafting and reviewing all compliance procedures/policies, ensuring that they are properly developed and monitored to align with the relevant rules and regulations;
- Handling KYC, AML-related issues and projects;
- Maintenance of control room functions, such as, Chinese Walls, various restricted and watch lists and also filings of the disclosure of interests;
- Handling SFC filing, enquiries and investigations;
- Maintenance of surveillance functions, such as, staff dealing monitorings and CPTs registers;
- Handling FATCA and CRS issues;
- Facilitating and coordinating compliance trainings for staff;
- Any other duties assigned by Department Head.
- University Graduate or above in business administration, accountancy, finance or law discipline;
- Minimum 3 years of work experience in securities houses/ asset managers/ financial advisors or sponsors (SFC RA 1, 6, 9 firms); preferably in medium to large scale Mainland financial institutions;
- Must be detail-oriented, independent, responsible and able to work under pressure;
- Strong analytical mind and ability to review legal or regulatory documents;
- Immediate availability or short notice is highly preferred;
- Excellent English and Chinese, must speak Mandarin;
- Immediately available preferred.