Develop and implement compliance policy and review program covering our equities and futures businesses with particular emphasis on the compliance with the relevant rules and regulations in Hong Kong;
Provide compliance guidance, conduct training and make recommendations for improvement areas to minimize compliance risk;
Advise business units on relevant compliance related matters such as reviewing new products and marketing materials;
Participate in new product development and undertake projects when necessary;
Perform trade surveillance and other regular reviews to identify potential compliance or internal control issues;
Liaise with regulators, auditors, business and functional units on compliance issues;
Such other duties as shall be directed by your superiors from time to time.
Degree holder in Accounting, Finance, Law, Risk or other related disciplines;
Minimum 5 years of related working experience in financial industry holding SFC type 1, 2, 4, 5 regulated activities, highly prefer in sizable Chinese securities firm / SFC would be advantages;
Familiar with Securities and Futures Ordinance and applicable statutory and regulatory requirements;
Good advisory and communication skills and ability to work under minimum supervision;
Good command of both written and spoken English and Chinese, ability to communicate in Mandarin preferred.