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:

• University degree in Law, Finance or related disciplines

• Minimum 3+ years of relevant experiences in SFC licensed corporates

• 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

• Immediately available is highly preferred

Intereste parties, pleas send your resume to charlotte.mou@manpowergrc.hk