合規法務部主任-Compliance Officer

Job Responsibilities

1. Handle ongoing compliance monitoring and AML related works across licensed corporation within the Group
2. Conduct business reviews to ensure compliance with regulatory requirements, including review on investment banking arm of our Group
3. Assist in handling regulatory investigations, compliant cases and surveys requested by regulators
4. Conduct research and provide advice on legal and compliance-related matters
5. Develop, review and update compliance policies and procedures
6. Support the implementation and review of compliance policies, procedures and internal controls
7. Assist in staff compliance training, regulatory projects and internal control enhancement initiatives
8. Prepare compliance related reports and support ad hoc projects as assigned by the Management

Requirements

1. Bachelor’s degree in Law (PRC/HK/other common law jurisdictions), Accountancy or related disciplines
2. Solid understanding of SFC rules and regulatory requirements
3. Possess 3-4 years of compliance experience in financial institutions or professional services firms
4. Self-motivated, independent, detail-oriented, analytical, responsible and strong team spirit
5. Proficiency in written and spoken English and Chinese, and Fluency in Mandarin is preferred