a well established financial group.
- Handle compliance related matters for corporate finance activities including but not limited to review corporate/legal/compliance documentation, perform AML assessment and independence checks and liaise with solicitors, regulatory authorities and other relevant parties as required throughout deal execution process.
- Maintain and review compliance manuals, policies, procedures and systems to ensure that all CF and brokerage activities are in compliance with the applicable laws, regulatory requirements and the Group's policies.
- Conduct continuous compliance review and surveillance exercises on all transactions and activities related to Type 1, 4 & 6 regulated activities.
- Liaising with external counsels on regulatory aspects of transactions.
- Oversee of compliance and reporting requirements including CRS & FATCA.
- Assume responsibility for training and giving direction to junior staff and new staff of compliance matters.
- Advise the board and COO in general compliance issues.
- Bachelor’s degree from a major university with 5+ years of legal and compliance experience dealing with Type 6 regulated activities in major investment banks or SFC licensed corporations
- Strong understanding of information control and conflicts of interest issues, as well as surveillance and monitoring experience
- Strong working knowledge of securities law and capital markets practice
- Strong command of spoken and written business English and Chinese
- Prior experience in control and risk management procedures for key investment products is desirable