Assistant / Officer, Compliance Department

Responsibilities:

• Responsible for handling with compliance control programs
• Liaise with regulators and assist in handling enquiries, complaints and licensing works
• Work with the surveillance teams to calibrate and implement the due diligence procedures, processes and policies
• Assist in developing and implementing remedial action plans in response to internal and external audit findings

Requirements:

• Bachelor's Degree in Legal, Finance, Accounting or related disciplined with 1-2 years' relevant experience gained in Brokerage firm, banking and finance industry
• Familiar with SFO and HKEX rules
• Have strong sense of responsibility, detail-minded and able to work independently
• Good communication skills for collaborative work with inter-departmental and external parties
• Good command of written and spoken English and Chinese
• Proficiency in MS Office application