Compliance Officer / Assistant Compliance Officer

Responsibilities :

• Handle licensing matters, regulatory filings and notifications;
• Conduct compliance monitoring and follow up on findings;
• Assist supervisor to review and update the company’s internal policies, procedures and related documents and forms;
• Conduct research on compliance and legal issue;
• Assist supervisor to handle ad-hoc projects;
• Maintenance of CPT records and documentation filing

Responsibilities :

• DSE above, Degree holder in Law, Accounting, Business or related disciplines would be an advantage;
• 1 – 3 years of relevant experience in financial industry
• Good understanding of SFC/HKEX regulatory requirement in relation to Type 1/2/3/4/5/9 Licenses;
• Responsible and self-initiated
• A team player with strong communication and analytical skills;
• Good command of written and spoken English & Chinese
• Candidate with less experience will be considered as Assistant Compliance Officer        

We Offer:

• 5-day work
• Attractive remuneration package
• Double pay
• Discretionary bonus
• Medical and dental insurance
• Job training
• Good prospects of career advancement