- Review and update the Firm's Compliance Manual and other internal policies and
procedures to ensure alignment with regulatory requirements and industry best
practices
- Handle license applications, notifications, enquiries, surveys and maintain
relevant records
- supervise fulfilment of SFC authorised funds requirements, e.g. assist in fund
...
application, prepare relevant announcements, regular SFC reporting, KFS and
prospectuses updates.
- Conduct pre-trade compliance control and post-trade compliance monitoring
- Monitor and review compliance and risk matters related to operations and
investments, ensuring ongoing adherence to AML requirements
- Make the company review the business continuity plan and test that it is
appropriate or sufficient enough in response to any forseeable significant
business disruptions
- Review and approve marketing materials to ensure that the contents were true,
accurate, completed and not misleading and appropriate risk warnings were
included
- Conduct ongoing compliance tasks, e.g. staff dealing, compliance training,
CPT records maintenance
- Coordinate with relevant stakeholders for internal audit/annual review of the
Firm's controls on an annual basis
- Provide assistances on ad-hoc projects as assigned by the management team
- Conduct research on topics which are of interest to the senior management
- Compile administrative reports for the senior management
- serve as liaison between external partners (auditors, external legal teams and
regulators)
show more
- Review and update the Firm's Compliance Manual and other internal policies and
procedures to ensure alignment with regulatory requirements and industry best
practices
- Handle license applications, notifications, enquiries, surveys and maintain
relevant records
- supervise fulfilment of SFC authorised funds requirements, e.g. assist in fund
application, prepare relevant announcements, regular SFC reporting, KFS and
prospectuses updates.
- Conduct pre-trade compliance control and post-trade compliance monitoring
- Monitor and review compliance and risk matters related to operations and
investments, ensuring ongoing adherence to AML requirements
- Make the company review the business continuity plan and test that it is
appropriate or sufficient enough in response to any forseeable significant
business disruptions
- Review and approve marketing materials to ensure that the contents were true,
accurate, completed and not misleading and appropriate risk warnings were
included
- Conduct ongoing compliance tasks, e.g. staff dealing, compliance training,
CPT records maintenance
...
- Coordinate with relevant stakeholders for internal audit/annual review of the
Firm's controls on an annual basis
- Provide assistances on ad-hoc projects as assigned by the management team
- Conduct research on topics which are of interest to the senior management
- Compile administrative reports for the senior management
- serve as liaison between external partners (auditors, external legal teams and
regulators)
show more