- Assist to supervise licensing related works and offer advice on licensing issues.
- Provide compliance advice to the different business units in relation to securities brokerage and wealth management business.
- Review and advise on legal and compliance contracts and documentation.
- Handle and implement compliance requests with internal stakeholders to enhance the internal controls and procedures as well as the system of the company.
- Manage internal and external audit, enquiries, regulatory filings, inspections and investigations from the auditors, exchanges and regulators.
- Conduct compliance training.
- Perform ad hoc compliance projects as assigned.
- Degree holder in Law, Business, Finance or related disciplines.
- Minimum 5 years of compliance experience in financial institutions, and fintech company experience is an advantage.
- Professional qualification on AML or compliance is an advantage.
- Sound knowledge in rules and regulations of Securities and Futures Commission and relevant regulatory requirements.
- Self-motivated, able to work independently, detailed oriented with good inter-personal skill and strong problem solving skills.
- Proficiency in written and spoken English and Chinese (including Putonghua).
