- Provide support in handling enquires from regulators on trade-related enquiries, demand for information and investigation related requests;
- Handle statutory reporting required under the Securities and Futures Ordinance including Disclosure of Interests, Short Position Reporting and Large Open Position Reporting;
- Handle license application and maintenance;
- Handle staff dealing and outside appointment related matters;
- Handle periodical reports to the parent company; and
- Assist the team in handling compliance related matters arising from day-to-day business operations.
- University degree holder in Business, Finance or related discipline;
- Minimum 3 years’ compliance exposure in dealing with enquiries from regulators on enforcement, intermediaries supervision and licensing issues is an advantage;
- Sound knowledge in SFC regulations and practices is an advantage;
- Good knowledge in Microsoft Office; and
- Proficiency in both written and spoken English and Chinese, fluency in Putonghua is a must.
We offer an attractive remuneration package to the right candidate. Interested parties please forward your full resume with availability, expected salary by pressing "Apply now" or send it to 27/F., Low Block, Grand Millennium Plaza, 181 Queen’s Road, Central, Hong Kong.
(Data collected will be kept strictly confidential and used for recruitment purpose only.)