Responsibilities
- Manage regulatory and general compliance operation (i.e. licensing, personal account dealing, compliance training and other reporting
- Work closely with senior management in responding to regulators enquiries & inspections (SFC)
- Coordinate with internal senior stakeholder to establish compliance review program
- Execute compliance checking in accordance with SFC & HKMA regulatory requirements
- Collaborate with AML, KYC & CDD function in reviewing business operation, product due diligence, KYC/CDD documents, marketing materials and other legal or compliance documentation
- Prepare compliance reports to senior management & HQ on key findings
- Work as a team to keep abreast of up-to-date regulatory compliance guidelines & policies and perform regulatory gap analysis to rectify any deficiency
- Prepare due diligence report and key findings to senior management & HQ
- Participate in ad hoc projects and tasks as assigned
Requirements
- Degree or above
- 2 years + experience in Financial Services (SFC Type 1,4,9) compliance function
- All-rounded background in compliance, AML & legal would be high preferable
- Good command of English is required
- Banking Experience would be an advantage
- Knowledge of financial products and financial market would also be an advantage
To apply online please click the 'Apply' button or send your profile to [email protected] . For a confidential discussion about this role & other openings please contact Alex CHEUNG at +852 2121 1418 .
举报职位
