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job description

You will be responsible for :

Conduct compliance analysis and monitoring or review in accordance with the Compliance Plan, to ensure staff adhere to internal control and regulatory requirements;
Build and implement compliance policies, procedures and controls;
Review new business/activity proposals by the business or operations;
Maintain compliance oversight and conduct compliance analysis;
Implement and maintain compliance policies, procedures and controls;
Monitor changes in the regulatory bodies (HKMA, SFC, HKEX) and keep company informed of relevant updates
Provide training on regulatory requirements or compliance issues

Requirements:

A minimum of 3 years business compliance/ trade surveillance/ licensing/ product compliance, e.g. Fixed income/ Equity derivatives
Knowledge of HKMA and SFC regulations and rules
Fluent English and Cantonese

no additional skills required

no additional qualifications required

Bachelor Degree