Role and Responsibilities:

• Assist and support the Compliance team in handling core compliance, regulatory, legal, monitoring and surveillance related matters;
• Assist and support the Compliance team in handling Anti-Money Laundering and Counter Financing of Terrorism (AML) tasks such as name screening, customer due diligence (KYC) and transaction monitoring
• Handle the SFC licensing matters, including but not limited to application, notification and annual return through WINGS or e-mail
• Assist in the drafting and updating of Compliance manuals, policies and procedures;
• Assist in providing Compliance related training to business groups;
• Provide administrative support to Compliance team members
• Perform ad-hoc assignments as required;

Job Requirements (Education and Experience):

• Bachelor Degree holder in law, accounting, finance or business related disciplines, with a keen interest in investment banking and financial transactions, and/or legal and compliance related issues;
• At least 2 years’ compliance working experience in SFC regulated companies is a MUST, experience in sell side preferred;
• Knowledge in SFC licensing, AML Compliance and relevant regulatory requirements;
• Ability to multi-task, organize, prioritize and track of multiple agreements in various stages of negotiation;
• Strong communication skills (written, verbal, presentation etc.) with the ability to adjust the communication style according to the audience;
• Ability to maintain high standards at all times and complete work within deadlines
• Diligent, committed and willing to learn
• Proficient in English and Chinese (including Putonghua)
• Proficient in the use of MS office suite

This job description is intended to explain the general nature and level of work being performed. It is not intended to be construed as an exhaustive list of all responsibilities, duties, and skills required of the personnel so classified.

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