Overseeing and monitoring the regulatory, compliance, operational risk;
Coordinate and liaise with regulators / authorities such as SFC and handle their enquiries and / or investigations;
Develop, implement and conduct training on AML, regulatory and compliance matters;
Handle licensing applications or licensing related matters;
Ensure the Company and its staffs comply with external and internal up-to-date compliance policies;
Handle ad hoc projects and assignments.
Degree Holder in Law, Finance, Accounting or related disciplines;
With at least 3 years working experience in brokerage firms or financial institutions;
Familiar with SFO, its subsidiary rules and other SFC codes and guidelines;
Good spoken and written in English and Chinese, Mandarin is an advantage.
Candidates with less experience will be considered as Officer- Legal and Compliance