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Ensure the business operations being strictly in compliance with regulatory requirements
Assist in formulating control procedures and compliance programs to cope with ongoing changes in laws, regulations and business needs regarding the regulated activities
Liaise with regulators e.g. SFC, IA, HKFI, HKEx, Customs and Excise, etc. on handling licensing matter
Assist in company secretarial duties for the Group companies and support the Board of Directors in discharging the Board responsibilities
Draft and update the compliance policies and procedures manuals
Review and comment on operational manuals, agreements, marketing materials etc. for the business units from compliance perspective
Review the reports for AML and CFT purposes and take appropriate follow-up actions
Liaise with business units to establish and maintain sound internal controls to mitigate compliance risks
Perform compliance monitoring daily and other regular routines
Deliver in-house AML and Compliance training to business units
Degree holder in Law, Business, Finance or related disciplines
7 years or above relevant experience in securities firm, preferably with Company Secretarial exposure
Member of HKICS / ICSA preferred
Well versed with Company Ordinances, Securities and Futures Ordinances and other statutory and regulatory requirements on KYC, AML and good knowledge in financial products and commercial practices in SFC regulated activities, insurance broker & money lenders business.
Independent, able to work efficiently with minimum supervision
Proficient in both spoken and written English and Chinese
Immediately available highly preferred
Candidate with more experience will be considered as Senior Manager