Our client is a well-known Chinese firm with SFC licenses (Type 1,4,6,9) and they are looking for a suitable candidate to join their compliance team. The Compliance Officer is to make sure that the Company's regulated activities are in full compliance with relevant laws and regulations and closely work with external compliance firm to achieve these goals. He/she shall put in place all necessary guidelines, processes and training as well as monitor the implementation etc.
- Develop, implement and execute the compliance training program
- Perform compliance monitoring and investigation
- Prepare regular and ad hoc compliance management reports
- Key person to handle requests from headquarter
- Handle regulatory requests such as reporting, inquiries and inspections and ensure smooth, accurate and timely communication with regulators
- Project lead or representation such as status reporting, tracking of task progress, maintaining databases and etc.
- Degree holder in law, finance, accounting or other related disciplines
- Fluency in written and spoken English, Cantonese and Mandarin
- At least 3 years experience in compliance area at Private Banking/Wealth Management/Asset Management/Brokerage/Regulators etc in Hong Kong
- Solid knowledge about compliance/regulations in HK for type 1, 4,6 or 9 activities.