Compliance Officer

Job Responsibilities:

• Liaise with Securities and Futures Commission;
• Review policies and procedures and provide input to ensure compliance with applicable legal and regulatory requirements;
• Perform ad-hoc compliance projects;
• Conduct regular compliance reviews and checking on staff dealing, individual and corporate licensing, account-opening; and
• Ensure compliance of the acts of the company and the staff with all relevant laws, rules and guidelines regulating trading in securities.

Job Requirements:

• Degree in Accountancy, Finance, Law or related subjects;
• At least 2 years compliance experience in financial industry;
• Well versed with SFC, KYC, AML Guidelines and other regulatory requirements;
• Proficiency in MS Word, Excel, and Chinese Word typing;
• Good command of spoken and written English and Chinese including Mandarin
• Well-organized, good interpersonal and communication skills
• Immediately available is highly preferred