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Develop and maintain / enhance compliance related policies and procedures as well as proper internal control to ensure that Company's activities are in compliance with latest statutory and regulatory requirements
As one of the key members to liaise with regulatory bodies, exchange internal and/or external auditors
Analyse the testing and controls proceedures to ensure that the compliance monitoring is conducted effectively
Perform surveillance for trading activities; Involve in new products launching procedure, providing day-to-day compliance advice to different business lines
Review and draft internal and/or external agreements
Review and approve client KYC / due diligence reports
Responsible for overseeing the KYC process
Perform central compliance functions (conduct staff training / CPT monitoring / reporting functions, etc.)
Ad hoc projects and administrative/clerical duties
The Successful Applicant
University graduate with an accounting, finance, risk, legal or related discipline(s).
At least 8 years of experience in general compliance gained from the securities brokerage firms
Familiar with the Securities and Futures Ordinance, SFC rules and regulations
Good knowledge in investment products, fund setup and practices in FATCA are definitely advantageous
Confident, self-motivated, organized, detail-oriented, willing to learn, flexible, able to multitask and strong analytical skills
Fluency in written English and Chinese, with verbal fluency in Mandarin