Compliance Assistant / Officer

Compliance Assistant / Officer

Role's Responsibilities:

1. Assist in dealing with HKEX, SFC and other regulatory organizations for all compliance and licensing matters
2. Assist in developing and monitoring compliance related policies and procedures as well as proper internal control to ensure that Company is in compliance with regulations
3. Handle and update licensing matters for licensed individuals and corporations
4. Monitor the Company’s operation and employee dealing, and perform compliance and AML checking to ensure compliance with rules and regulations, and internal policies and procedures
5. Provide in-house training on rules and regulations and promote compliance awareness in the Company
6. Conduct KYC/CDD for new account opening and account maintenance, filing
7. Assist on all company secretarial tasks, including prepare Board Minutes/Written Resolutions/ AGM for group companies
8. Perform ad-hoc assignments or projects as required
9. Supervise junior member to perform the day-to-day operations of the department

Role's Requirements:

1. Degree holder or above in Law, Accounting, Business Administration or related disciplines
2. Sound knowledge of the financial industry and Compliance regulations (advantageous - but not necessary)
3. Preferably with 1 - 2 years of compliance experience
4. Candidates with internship experience in the banking and finance industries (advantageous - but not necessary)
5. Knowledge with securities laws and regulations, SFC rules and regulations, Exchange Rules, Listing Rules and Companies Ordinance
6. Good English Cantonese and Mandarin
7. Fresh graduates welcome to apply

Your Benefits:

• Medical insurance (including spouse and children)
• Dental insurance
• Life insurance
• Performance bonus
• Study leave
• Birthday leave
• Annual leave

We offer a competitive compensation package to the right candidate. If interested, please apply by clicking ‘Apply Now’ with your resume and your current & expected salary.

(All applications will be treated in strictly confidential.  Applicants who are not invited for interview within 2 months may consider that their applications are unsuccessful.)