Job Responsibilities
Provide compliance advices and support on the daily operations;
Assist to set out and update the internal policies and procedures and ongoing compliance monitoring programs for adherence to legal and regulatory requirements in the jurisdiction(s) where the corporation operates;
Assist the ongoing and ad hoc compliance projects/reviews responding to regulatory changes, system enhancements;
Liaise with regulatory authorities and other relevant counterparties for regulatory enquiries, regulatory filings and requests;
Assist in legal documents and regulatory submissions from compliance perspective;
Assist in preparing compliance reports to the Group and management.

Job Specification:
6-8 years’ experience in compliance field of the capital markets;
University degree in Law, Finance or Accounting with compliance-related experience in sizable financial institution(s) or regulatory body preferred;
Solid knowledge of Hong Kong and China regulatory and compliance requirements, including SFO, Listing Rules and Takeovers Codes, ideally with knowledge of equities and debt products and capital market transaction flow;
Able to communicate tactfully with all levels of management, and highly organized with exceptional attention to detail and strong sense of responsibility;
Excellent command of English and Chinese, and fluency in Putonghua;
Exposure to international regulatory/compliance matters is an advantage;
Experience and knowledge of handling AML matters and over-the-counter financial products are advantages.

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Full-time