Job Descriptions

• Participate in tasks and projects across Compliance, Settlement, Credit Control, Accounting, and Finance to gain a well-rounded understanding of back-office operations.
• Ensure all employees requiring licensing (SFC/IA/MPFA) are properly licensed/registered before performing regulated activities and confirm their attainment of sufficient CPT/CPD hours annually.
• Respond to requests for information from regulatory bodies.
• Provide compliance training to new joiners as well as staff in relevant business and support units.
• Conduct compliance monitoring, reviews and ad-hoc investigations. Report findings to senior management, providing actionable recommendations for improvement.
• Stay updated on the latest legal and regulatory requirements applicable to the firms and promote compliance awareness and foster a strong compliance culture.
• Perform other duties as assigned by respective managers in Compliance and other operational units.
   

Job Specifications

• Relevant university degree holder (accounting, business, law or related discipline).
• Minimum 2 years solid experience in compliance, audit or related field in the financial services sector or with regulatory authorities.
• Good knowledge of SFC, IA, MPFA regulations.
• Experience in performing compliance review & investigation, compliance training.
• Excellent communication and interpersonal skills.
• A proactive, motivated approach.
• Responsible, detail-minded, and well-organized.
• Proficiency in both English and Chinese.
• Intermediate computer skills, including MS office.
• Recent graduates are welcomed .
   

Immediate availability is preferred. Interested parties, please send your updated CV with Current, Expected Salary and Availability in Word Format to us.

The information collected is for recruitment purposes only. All applications will be treated strictly and confidentially.

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.