Compliance Officer (SFC Type 1,4,9)

Responsibilities:

• Handle general enquiries from SFC regulations Type 1,4,9, HKEX and regulators;
• Manage client regulatory and compliance policies and monitor risk to fulfill SFC / HKEX requirements;
• Manage client onboarding and periodic review process of existing clients and investors;
• Formulate, maintain and update AML / policies and guidelines;
• Handle staff licensing / CRS / FATCA reporting;
• Track and reconcile CPT hours against regulatory requirements;
• Provide essential in-house AML training for staff;
• Responsible for Compliance MIC & MLRO for SFC regulations Type 1,4,9;
• Handle other ad-hoc projects and assignments as required;

Requirements:

• Degree holder in Business Administration, Law, Finance or possess related professional qualification;
• At least 2 years of relevant experience in Compliance function of Financial Institution with exposure in SFC matters;
• Solid 2 years of responsible for Compliance MIC & MLRO;
• Compliance experience in Securities Firm is highly recommended;
• Strong understanding of financial market knowledge, rules and regulations of capital markets for HK markets;
• Well-versed in relevant compliance rules and regulations issued by the SFC;
• Analytical, self-motivated, ability to work under pressure;
• Excellent presentation and problem-solving skills;
• Good command of written and spoken English and Chinese (Cantonese & Mandarin);
• Immediate available is highly preferable.

We offer attractive remuneration and benefits to the right candidates. Interested parties, please send your application with full resume stating your CURRENT and EXPECTED salary by email or click "APPLY Now".

All information collected will be kept in strictly confidential and will be used for recruitment purpose only.