Formulate, review and update policies, procedures, manuals and guidelines in relation to the regulated activities of Types 1, 2, 4, 6 and 9 under the Securities and Futures Ordinance for compliance with all latest legal and regulatory requirements.
Handle enquiries and investigations by the regulators (including Securities and Futures Commission and the Stock Exchange of Hong Kong).
Conduct compliance monitoring, trade surveillance, reviews and ad-hoc investigations (including investigations of suspicious activities/ transactions) and report non-compliance issues with remedial suggestions and/or improvement plan to the management on a timely basis.
Liaise with business, operations and legal departments, and auditors and regulators on compliance related matters when necessary.
Assist Department Head to handle ad-hoc issues.
University degree in Law, Corporate Governance or related discipline
At least 10 years??? experience in compliance in regulated activities, in which at least 4 years in a senior position
Well versed in all relevant laws, rules, codes and guidelines?? in relation to compliance, anti-money laundering and counter-financing of terrorism in Hong Kong
Previous experience in handling regulators??? investigations is a must
Able to handle multi-tasks independently and work under tight deadlines and high pressure
A good team player, self-motivated, strong sense of responsibility and discipline with good communication skills
Excellent command of both written and spoken English and Chinese
This is an excellent opportunity to develop you career. Our offer is an attractive package and career development prospects. Interested candidates, please contact us at 31966206 for company details before applying.
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Internal Number: 12372492
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