Compliance Manager

Compliance Manager

Job Description

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.