Job Description

Responsibilities:

• Monitor all compliance issues of the company, including Asset Management, Brokerage, Corporate Finance and Direct Investment
• Conduct investigation on suspicious transaction cases
• Build and strengthen the in-house compliance & risk management framework
• Provide AML/KYC advisory and operational support
• Roll out compliance policies & operating guidelines
• Perform periodic review on staff’s personal dealing pre-clearance requests and reconciliation
• Ensure all business units are in full compliance with the relevant laws, rules and regulations
• Develop and provide compliance training
• File and monitor Disclosure of Interest notification in compliance with HKEx rules

Requirements

• University degree in Banking/Finance or any related disciplines
• Minimum of 8 years relevant experience in financial industry or SFC type 1,4,6,9 companies in compliance/legal
• Good knowledge of Hong Kong SFC licensing rules, take over codes, guidelines and reporting requirements.
• Good knowledge on investment fund set up and structure
• Ability to work under pressure, with strong communication and analytical skills
• Fluency in English and Mandarin is essential
• Strong report writing skills in both Chinese and English