Senior Associate/Associate- Compliance and Legal Affairs Department

We offer attractive remuneration package, 5-day work, competitive fringe benefits ( wedding leave, body check, group medical insurance, dental insurance etc. ) and excellent career development opportunity to the right candidate. Responsibilities

• Handle SFC licensing application and CPT records
• Review and draft procedures
• Provide constructive compliance solution and advice to Types 1,4,6,9 businesses
• Conduct compliance review including staff’s personal account dealing on regular basis
• Monitoring & surveillance of clients’ trading activities and anti-money laundering
• Assist in handling SFC inquiries related to s.181 & s.182
• Participate in any ad-hoc projects and internal investigaton(s) and drafting reports in Chinese
• Fostering strong relationships with other front and back office functions to optimize efficiency. 
• General Knowledge of FATCA and CRS
• Perform other duties as assigned from time to time by the Head of Compliance
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Requirements

• Degree holder in Law / Finance or related disciplines;
• At least 3-5 years compliance experience in the financial services industry or with regulatory bodies.
• Good knowledge of SFC regulations / guidelines and market practices
• Good command of written and spoken English and Chinese (including Putonghua)
• Ability to work independently and under pressure

 

Interested parties please send CV, to the Human Resources Department by clicking "APPLY NOW".

Applicants not invited for interviews within six weeks may consider their applications unsuccessful. Our Company is an equal opportunity employer. Personal data collected will be used for recruitment purpose only.

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