Responsibilities

Job Description:

• Develop and implement compliance policy and review program covering our equities and futures businesses with particular emphasis on the compliance with the relevant rules and regulations in Hong Kong;
• Provide compliance guidance, conduct training and make recommendations for improvement areas to minimize compliance risk;
• Advise business units on relevant compliance related matters such as reviewing new products and marketing materials;
• Participate in new product development and undertake projects when necessary;
• Perform trade surveillance and other regular reviews to identify potential compliance or internal control issues;
• Liaise with regulators, auditors, business and functional units on compliance issues;
• To perform ad hoc projects as required.
  
  

Requirements

• Bachelor or Master Degree holder in Law or other related disciplines;
• Minimum 5 years of related working experience in financial industry holding SFC type 1, 2, 4, 5 regulated activities, highly prefer in sizable Chinese securities firm / SFC would be advantages;
• Familiar with Securities and Futures Ordinance and applicable statutory and regulatory requirements;
• Good advisory and communication skills and ability to work under minimum supervision;
• Good command of written and spoken English and Chinese, fluency in Putonghua.
  
  

Attractive remuneration will be offered to the right candidate. Interested parties please email your full resume with present & expected salary and date of availability through Apply Now.

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