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Advise and carry out compliance issues especially for Type 9 activities focusing on asset management
Responsible of all licensing issues and ensure companies implements adequate internal control procedures & manuals are complied with regulatory requirements
Act as main point of contact with regulators, legal counsels and consultants and liase with regulatory bodies and auditors, e.g. SFC
Monitor compliance controls of the company and carry out proper actions for improvement
Ensure company policies, internal control procedures & manuals are complied with regulatory requirements
Provide compliance input and documentation on new products and systems
Maintain regulatory relationships: assess, measure and report on compliance related risks; monitor and test the adequacy of the firm's compliance control environment and to develop policies and controls
Monitor and investigate into any suspicious transactions reports by internal and external customers
Provide staffs with relevant information, publications and training on compliance matters to maintain compliance awareness
University degree preferably in law, finance, accounting or related disciplines
Minimum 6 years of compliance experience in reputable financial institutions with good knowledge in securities laws, operations, products and services
Knowledgeable in SFC regulations and guidelines
Experience in liaising with SFC
Familiar with HK legal and regulatory requirements on asset management in an advantage
Detail-oriented, mature and able to work independently
Fluency in written and spoken English, Cantonese and Mandarin
Internal Number: 6305462
About Captiare Limited
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