Responsibilities

Monitor and manage the daily compliance works for the Group’s business activities, ensure to comply with the internal policies and external regulations

Key person in drafting, reviewing, negotiating and advising agreements, legal contracts and documents

Advise the management regularly on new regulatory requirements

Responsible for conducting AML, KYC and other compliance checks such as Independent Check during the course of daily business operation

Provide compliance guidelines to the business units such as equities, asset management, private equity and corporate finance to ensure compliance with the rules and regulations set by SFC

Implement the compliance manual, review and update the policies and procedures periodically

Handle licensing issues and information requests from SFC and business units

Carry out compliance training to the business units and provide advice to the management

Provide support to business, management and operations units on compliance-related matters

Requirements

Degree holder in Business or Law or related disciplines

Minimum 3 years’ or above of relevant experience;

Well-versed with the SFO and other relevant codes and regulations as well as rules and regulations of Type 1, 4, 9

Knowledge in handling the license application for the business units

Strong interpersonal and communication skills that facilitate open working relationships with staff at all levels in the business

Strong command of both written and spoken English and Chinese

Full-time