Responsibilities
- Liaise with regulators on licensing and compliance matters, regulatory enquiries and filings in relation to SFC regulated activities
- Draft, propose, and review policies and procedures to ensure compliant with regulatory requirements
- Provide compliance advice and training (e.g. CPT) to staff
- Review company documents and procedures to ensure adherence to company's policy and applicable regulatory requirements
- Provide AML support, support and maintain internal control procedures
- Assist in client on-boarding and account opening processing
- Handling of monthly internal compliance reporting and suspicious transaction reporting etc.
- Handle ad-hoc projects from time to time as assigned
- Solid 4 to 8 years of relevant compliance / AML experience for Type 1, 4 and 9 licensed corporation, candidate with sufficient experience can be considered for Senior Manager
- University graduate in legal, accounting or business-related subject
- Professional qualification in legal, compliance, accounting and/or investment is an advantage
- Sound knowledge in SFC codes, guidelines, circulars and SFO etc.
- Experienced in interacting with regulatory bodies (e.g. SFC, HKMA)
- Excellent communication skills in English, Cantonese and Mandarin
- Willing to work in a dynamic environment, and provide hands-on support
- Detail-oriented, analytical, resourceful and possess good problem-solving skills
Please note that only shortlisted candidates will be notified. All information gathered will be treated in strict confidence and solely used for recruitment purposes.
