Responsibilities
- Attend to ongoing compliance requirements under the Companies Ordinance, Securities and Futures Ordinance and relevant subsidiary legislation and codes issued by the regulators for licensed persons;
- Handle license applications and provide advice on licensing issues;
- Review and revise business plan for approval by regulators;
- Review and revise compliance manuals, policies, procedures and systems to keep abreast of new and regulatory changes;
- Keep abreast of, monitor, and analyze developing trends and changes in regulatory compliance laws, rules and regulations, and advise clients of the operational impact of such trends and changes;
- Handle FATCA related matters;
- Perform ad-hoc assignments as assigned.
- Bachelor's Degree or above;
- At least 8 years relevant working experience in handling complicated compliance issues is essential;
- Familiar with primary and secondary market trading systems;
- Good knowledge of SFC regulations, guidelines and market practices;
- Good command of both written and spoken English and Chinese (including fluency of Mandarin);
- Proficient in MS Office, including Word & Excel and Chinese word processing is required;
- Immediate availability is highly preferred.
Please note that only shortlisted candidates will be notified. All information gathered will be treated in strict confidence and solely used for recruitment purposes.
