Responsibilities

• Monitor regulatory changes and update the policies and procedures
• Handle regulatory reporting and inquires with the relevant Exchanges and Regulators
• Handle research report clearance
• Handles licensing matters, notification, annual return, survey and other ad hoc reports as required by the regulators
• Handle on-going SFC reporting matters
• Handle staff dealing review and monitoring
• Maintain and update stock restricted list and watch lists
• Conduct in-house compliance training
• Assist in ad hoc projects as required

Requirements :

• Undergraduate Degree in Law, Accountancy, Finance, or related disciplines
• Minimum 3-5 years of work experience in brokerage firms, financial institutions, big 4 audit firm or law firms experience is welcomed
• Robust and solid understanding of SFC Code of Conducts and relevant regulatory requirements
• Knowledge of securities and investment products and its operation
• Familiar with FATCA/QI/CRS requirements is an advantage
• Preferable to have project management experience on implementation of new rules, products or business
• Responsible, hardworking and well-organized
• A good team player with strong interpersonal and analytical skills as well as high degree of professional maturity
• Excellent verbal and written communication skills both in Chinese and English, proficiency in Mandarin is a plus

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