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Perform regular and ad hoc compliance reviews on the Company's business activities and putting in place control measures and procedures to ensure compliance with statutory/regulatory requirements as well as corporate policies. Keep up to date with changes in rules and regulations.
Conduct compliance / AML training to freshly-joined and existing colleagues regularly to promote a compliance culture in the company
Keep abreast of regulatory updates in the securities, insurance and MPF industries and other changes in laws and regulations that might impact the company's business, and incorporate any new requirements with the company's internal policies
Ensure current business is in compliance with applicable laws and regulators, identify potential risks, design and implement proper internal controls to mitigate those risks
Review marketing materials and liaise with regulator to get approval
Select, train, motivate, and develop a knowledgeable and productive staff, which includes performance appraisals, development plans, salary administration, and conflict resolution. Maintain a general, familiar, consistent leadership presence
Provide support to the Head of Legal & Compliance as assigned to him/her from time to time. Perform other job related duties and special projects as required
University graduate, preferably in Accounting, Finance, Law or related disciplines
Minimum 5 years of compliance experience in financial services industry (e.g. banking, securities or asset management)
Well-versed with SFC and MPF regulations and are familiar with financial services and products such as mutual funds and retirement products
Strong analytical and drafting writing skills
Self-motivated, well-organized and able to work under pressure and tight deadlines
Strong interpersonal & communication skills including spoken & written English and Chinese, Mandarin is a plus
Interested Applicants please send your resume (in Word format) together with present and expected salary to Jared Ng:
Tel: (852) 2521-5118 ext. 818
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