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Provide day-to-day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the Group is in compliance with the law, rules and regulations
Identify, evaluate and control compliance risks of the operations and business activities at Group level
Liaise with business units on assessing and measuring compliance and related risks, and developing common standards and practices
Review business processes and new initiatives put forward by business unites to ensure in compliance with regulatory requirements
Review, enhance and develop compliance programs, procedures and guidelines for business units if required
Manage relationship with the relevant Exchanges and Regulators, handling regulatory queries and requests, assist the Director of Group Legal and Compliance team to conduct relevant investigation and inspection
Conduct monitoring activities including desk reviews and thematic reviews wherever appropriate for compliance with regulatory requirements
Draft, revise, update and maintain compliance policies and manuals at Group level as necessary on on-going basis
Deliver in-house regular compliance training to all staff
Degree holder of Law, Finance or other related disciplines
4-6 years' solid compliance experience gained at financial institutions dealing with regulatory bodies is required
Familiar with SFO and SFC regulations and guidelines for type 1, 4, 6 and 9 activities is required
Experience in AML matters and familiar with HK AML laws and regulations is preferred
With experience in overseeing IT compliance of electronic trading platforms will be an added advantage
Good command of written and spoken English and Chinese including fluency in Putonghua
Candidates with more experience will be considered as Senior Manager
We provide attractive remuneration package and fringe benefits for the right candidate. Interested parties please send detailed resume with current and expected salaries to Human Resources Department i) by mail: 22/F, Li Po Chun Chambers, 189 Des Voeux Road Central, HK; ii) by fax: 2537 5431; iii) by getting application method through the Job Opportunities Section of our Corporate website: www.htisec.com; or iv) by email: email@example.com.
Please quote the reference in the application. If application is submitted in hard copy format, it should be placed in a sealed envelope marked "Confidential". All applications will be treated in strict confidence and personal data provided by job applications will be used for recruitment purposes only. A copy of our Personal Information Collection Statement will be available upon request.