Compliance Executive

First Shanghai Investments Limited is looking for highly driven individuals who are motivated to grow and excel with the company.

Job Responsibilities

1. Handle general enquiries from SFC regulations Type 1, 4, 6, 9, HKEX and dealing with regulators;
2. Manage license applications and provide advice on licensing issues;
3. Manage client regulatory and compliance policies and monitor risk to fulfill SFC / HKEX requirements;
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. Assist to review and update the internal policies and procedures and ongoing compliance monitoring programs for adherence to legal and regulatory; requirements including anti-money laundering and customer due diligence;
6. Assist to review and draft company documents for the purpose of internal control, customer service and compliance;
7. Assist the ongoing and ad hoc compliance projects/reviews responding to regulatory changes, system enhancements;
8. Liaise with regulatory authorities and other relevant counter parties for regulatory enquiries, regulatory filings and requests;
9. Assist in preparing compliance review reports;
10. Deliver in-house staff training on relevant compliance topics;
11. Report to the Head of Legal and Compliance, and handle any ad-hoc duties as required.

Job Specification:

1. Bachelor's Degree or above with major in Business Administration, Finance, Accounting or related disciplines
2. At least 1 year exposure to SFC licensing applications, dealing with regulators, account opening, etc,
3. Self-initiated, analytical indeed, and able to handle multi-tasks under tight schedule.
4. Good collaborative teamwork spirit.
5. Good communication and presentation skills with excellent command of Chinese and English (both spoken and written).
6. Proficient in computer applications (MS Word).

We offer an attractive package including 5 days work, Medical Insurance and Year-end Bonus to the right candidate. Please apply with a full resume stating present & expected salary and date available to: The Human Resources Manager by clicking APPLY NOW.

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