- Update compliance policies and procedures and coordinate with business units to ensure due compliance with regulatory requirements;
- Perform surveillance exercise on internal controls and compliance procedures to ensure full adherence with internal policies and external regulatory requirements;
- Assist in handling licensing related matters, CPT activities and dealing with regulatory bodies, including SFC and HKEx, etc.;
- Assist in monitoring staff dealing activities and maintaining the Group's restricted list and watch list;
- Handle ad hoc duties as assigned by team head from time to time.
- Diploma or above in Law or equivalent qualification
- Minimum of 2 years' related work experience in brokering, asset management or compliance consulting company
- Fluent in both spoken and written English, Chinese (Cantonese & Mandarin)
- Self-motivated, independent and good sense of responsibility, good interpersonal skills
We offer attractive remuneration package and fringe benefits to the right candidate.
Interested parties please send full resume with present and expected salary to Human Resources Department by clicking "APPLY NOW".
(All personal information provided will be treated in strict confidence and will only be used for recruitment-related purposes.)