- Assist in day-to-day compliance matters including trade surveillance work
- Provide compliance advice and support business initiatives
- Handle regulatory reporting and inquiries with the relevant Exchanges and Regulators
- Carry out compliance testing for securities brokerage and other related businesses
- Assist in internal and external audit, inspections and investigations from Exchanges and Regulators
- Assist in monitoring of regulatory changes and update the policies and procedures
- Manage internal and external audit, inspections and investigations from the auditors, Exchanges and Regulators
- Liaise and collaborate with different departments to formulate, drive and implement remediation of compliance issues
- Assist in ad hoc projects as required
- University/College graduate
- Relevant work experience in financial or securities industry is preferable
- Good command of written and spoken English and Chinese, proficiency in Putonghua is a privilege
- Proficiency in computer applications such as MS Office
- Responsible, hardworking, well-organized, and able to work under pressure
- A good team player with strong interpersonal and analytical skills
