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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).