Compliance Manager

Responsibilities:

• Carry out all compliance functions to ensure the Company adheres to relevant legal and regulatory requirements;
• Develop and update compliance policies and procedures;
• Prepare internal and external compliance report;
• Prepare license applications and answer enquiries from regulators on compliance matters;
• Assist in ad hoc projects.

Requirements:

• Degree holder in Accounting / Law / Finance or related disciplines;
• 3 years or above working experience on compliance and audit function;
• Knowledge with HK legal and regulatory requirements on securities brokerage and anti-money laundering is preferred;
• Knowledge in SFC / HKEx rules and regulations and their compliance / practice;
• Mature, self-motivated and equipped with positive attitude and passion for performance excellence;
• Proficiency in written and spoken English and Chinese with fluency of Putonghua.