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Provide advisory service to the board and Chief Operating Officer in common compliance issues.
Manipulate compliance review, surveillance exercises on all transactions and Type 1, 4 & 6 regulated-activities related exercise.
Support compliance related matters for corporate finance activities including but not limited to review corporate/legal/compliance documentation, perform Anti-Money Laundering test and independence checks and liaise with solicitors, regulatory authorities and other relevant parties as required throughout deal execution process.
Communicate with external counsels regarding exchanges of regulatory aspects.
Maintain relevant compliance manuals, policies, procedures and systems to ensure that all corporate finance and brokerage activities working under applicable laws, regulatory requirements and the Group's policies.
To oversee compliance and reporting requirements including Foreign Account Tax Compliance Act and the Common Reporting Standard.
Provide compliance training and advice to junior staff and new staff
Major university graduate with minimum of 5 years' working experience in legal and compliance/ Type 6 regulated activities in Investment Banks or Securities and Futures Commission (Hong Kong) licensed corporations.
Professional knowledge of information control and conflicts of interest issues and surveillance & monitoring experience
Practical knowledge in securities law and capital markets practice
Proficiency in spoken and written business English and Chinese is a must
Experience in control and risk management procedures for key investment products is preferred but not a must
To apply please click on the "Apply" button or contact Stevin Sin at email@example.com quoting ref no.67279 for a confidential discussion. Your interest will be treated in strict confidence.