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Establish and carry out all compliance functions to ensure the Company adhere to relevant legal and regulatory requirements
Provide advice on compliance issues and potential impact of regulatory trends and developments for Securities services
Recommend and advise business line managers to implement adequate procedures and controls to comply with all applicable regulations, laws and codes
Ensure the applicable registration/licensing requirements are complied with SFC
Monitor compliance with statutory reporting obligations
Provide advice on the applications of Compliance rules and policies to support business activities covering Hong Kong and overseas
Assist in drafting and/or reviewing policies and procedures, checking plan, programmers, checklists and reports
Provide Compliance training to the staff with regards to rules and regulations as well as standards of conduct
Perform the Company Secretary function
Provide legal advice to different business units when necessary with the assistance of external legal advisor
Perform ad hoc projects as required
Requirements
Degree holder in Finance, Accounting, Business, Economics or other related disciplines, legal background is highly preferred
SFC licensed person with Type 1,2,6,9 regulated activities who are familiar with local regulatory and compliance requirements is preferred
Minimum 3 years compliance or legal experience in a sizable financial institutional and/or regulatory bodies, preferably with Securities and Futures Products experience is higher preferred
Good knowledge in securities laws, operations, products and services
Able to work independent with tactful and mature character
Self-motivated, independent and pleasant personality with good communication skills at all level
Good command of spoken and written Mandarin, English and Cantonese