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Advise on compliance aspects relating to securities, corporate finance, licensing and related matters;
Ensure all activities in the company are in compliance with Securities & Futures Ordinance by assessing impact of regulatory changes and advise on updating compliance policies and procedures in accordance with the relevant laws, guidelines and regulatory requirements, stay up to date on any regulatory changes, and ensure that any business is compliant with existing/new regulations;
Monitor the dealing and trading activities in the securities markets and perform trade surveillance;
Prepare and maintain an annual Compliance training plan which addresses employee needs and Compliance requirements.
University degree preferably in law, finance, accounting or related disciplines;
At least 10 years of solid compliance advisory experience with good securities and financial investment products knowledge;
Familiar with SFC ordinance related to RA1,4,6 & 9;
Good understanding of SFC regulations and guidelines as well as related regulations and legislations;
Good communication and people management skills;
Good command of spoken and written English and Chinese(Mandarin is a must).