Reponsible for assisting the team to implement policies and procedures to ensure business activities comply with the rules and regulations.
To provide compliance advice to different corporate finance business unites and assist the compliance team to implement policies and procedures to ensure business activities comply with the rules and regulations.
To identify, resolve and escalate compliance risk on a timely manner.
To handle matters on AML, to implement controls over AML in order to comply with all relevant rules and regulations and market’s best practice.
To perform compliance monitoring over business activities and perform any compliance review if necessary and report to Deputy Head of Compliance
University degree in Finance / Risk Management / Business / Law or other related disciplines
At least 3 years’ experience in securities firm providing compliance & regulatory advices or 3 years experience in corporate finance businesses, covering IPO, ECM, DCM, M&A, Compliance Advisor and other Listing Rules/Takeover Code related transactions & capital raising activities.
Experience and knowledge in financial industry rules and regulations