Compliance

a top tier Chinese securities firm 

• Ensure company policies, internal control procedures & manuals are complied

with regulatory requirements

• Liaise with SFC, HKEx and other regulators for any inquiries and requests

• Advise on compliance aspects relating to securities, corporate finance, licensing
  and related matters

• Oversee and monitor CDD, AML and KYC functions

• Monitor dealing and trading activities and perform trade surveillance

• Provide staff training related to compliance guidelines and keep tracking of CPT

hours for licensed persons

• Familiar with both Investment compliance and Regulatory Compliance within
  Asset Management.

• Review marketing materials, offering documents, legal documents

• Assist in ad-hoc projects as assigned

• University degree preferably in law, finance, accounting or related disciplines

• At least 4 years of solid working experience in compliance field preferably in
  sizable licensed Type 4 & type 9 corporations

• Sound knowledge of SFC regulations and guidelines

• Experience in liaising with SFC and HKEx for license applications

• Familiar with compliance issues such as AML and KYC

• Detail-oriented, mature and able to work independently

• Excellent written and spoken English, Cantonese and Mandarin

• Able to work under pressure, excellent organizational skills and good team player