Assistant Manager, Compliance

Responsibilities:

• Handle SFC licensing matters including but not limited to delisting or relisting applications;
• Perform compliance control and monitoring programs including but not limited to control room, AML checking, and trade surveillance;
• Handle the third-party and VIL deposit and withdrawal applications of the business units and perform the checking on the supporting documents and authorization relationships;
• Assist in handling investigations and surveys received from regulators;
• Handle other compliance matters / ad hoc matters assigned by the Legal & Compliance Department.

Requirements:

• Degree holder in Business Administration, Risk Management, Law or related disciplines.
• Possesses knowledge in SFC rules and regulatory requirements ;
• Minimum 5 years of compliance experience in financial institutions or professional services firms;
• Self-motivated, independent, meticulous, analytical and responsible;
• Strong organizational skills and ability to multi-task and work under pressure;
• Proficiency in written and spoken English and Chinese, and Fluency in Mandarin is preferred.

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