Compliance Officer

Responsibilities:

• Review corporate / legal / compliance documentation and liaise with solicitors, regulatory authorities and other relevant parties and report findings / investigations and make appropriate recommendations
• Carry out compliance reviews, risk monitoring reviews and internal control reviews to ensure that the company complies with the governing authorities’ rules and regulations as well as staff compliance with company’s policies and internal control procedures
• Monitor wealth management regulatory developments and communicate with relevant staff members to implement appropriate compliance rules and standards
• Provide compliance training and promote compliance awareness among the staff members
• Handle General Compliance related matters

Requirements:

• Degree/Professional qualification in Accountancy, Legal, Finance or related discipline
• 3-5 years of relevant working experience in Compliance field
• Ability to work with PC-based applications software including Chinese characters input
• Possess a high level of integrity with strong analytical, oral and written communication skills
• Independent, good communication and interpersonal skills, willingness to learn and ability to multi-task
• Good team player and self-motivated with a strong sense of responsibility, organizational and problem-solving skills
• Compliance experience in Asset Management company will be an advantage
• Sound knowledge of SFO and SFC Codes and Guidelines or in all kinds of Investment Products in Wealth Management and Private Banking will be an added advantage
• Candidates with less experience will be considered as Assistant Compliance Officer
• Immediate availability is preferred