1. Support various applications to the SFC and other regulatory authorities;
2. Carry on compliance monitoring daily and other regular routines;
3. Conduct reviews and tests to ensure adherence to group compliance policy;
4. Provide support in drafting and updating of compliance manual and procedures;
5. Provide support in drafting and updating of client agreements and other documentations according to the latest developments in the market;
6. Attend to other compliance issues and project as required from time to time.
1. University graduate with major in Accounting, Finance, Business or relevant disciplines;
2. Minimum 3 years of experience within compliance capacity;
3. Experience in Type 1, 2, 4 & 9 RA is an advantage;
4. Excellent time management, interpersonal and communication skills;
5. Self-motivated and independent;
6. High proficiency in both written and spoken English and Chinese, Mandarin is a plus;
7. Proficient in MS Office and Chinese Word Processing.