Responsibilities
- Handle IBD, Capital markets and brokerage related compliance matters and provide advices accordingly
- Participate in compliance review
- Draft and review compliance policies and procedures
- Participate and organise compliance training 

Requirements
- Degree holder in Accounting, Business, Law or related discipline.
- Minimum 4 years of relevant experience in compliance, audit or related field in the financial services sector or with regulatory authorities, preferably in Chinese FI
- Experience in Corporate Finance, Capital Markets and control room functions are advantages
- Good knowledge of SFC regulatory requirements
- A team player with good interpersonal, analytical and communication skills.
- Proficient in spoken and written Chinese and English (including Mandarin).