Responsibilities:

• Provide practical compliance advice for business such as retail and institutional brokerage;
• Monitor business operation of SFC licensed corporates and formulate and update internal policies and procedures to ensure relevant compliance standards are complied with SFC;
• Provide staff training related to compliance guidelines and requirements;
• Liaise with SFC, HKEX and regulators for any inquiries and requests;
• Assist in consultation raised by operation team relating to compliance issues, including due diligence and AML/KYC suitability policy;
• Keep abreast of new regulatory requirements published by SFC, HKEX, Common Reporting Standard (“CRS”) and FATCA;
• Handles licensing matters, notification, annual return, survey and other ad hoc reports as required by the regulators;
• Reviews advertisement, marketing materials and web page for adherence to regulatory requirements.

Requirements:

• Degree Holder
• Minimum 1+ years of relevant experiences in SFC licensed corporates
• Minimum 1+ years of relevant experiences in Complaince (AML)
• Proficiency in written and spoken English and Chinese (including Mandarin)
• Sound knowledge of the SFO and SFC Codes and Guidelines
• Detail oriented, self-motivated and able to work independently
• Excellent written and spoken English, Cantonese and Mandarin
• Good knowledge of front and back-office operation is preferential
• Good team player and problem-solving skills

**welcome to IANG VISA or valid HK working VISA