- Update compliance policies and procedures and coordinate with business units to ensure due compliance with regulatory requirements;
- Perform surveillance exercise on internal controls and compliance procedures to ensure full adherence with internal policies and external regulatory requirements;
- Assist in handling licensing related matters, CPT activities and dealing with regulatory bodies, including SFC and HKEx, etc;
- Assist in monitoring staff dealing activities and maintaining the Group’s restricted list and watch list;
- Involve in company secretarial duties and record keeping for Group’s subsidiaries and associated entities;
- File and monitor Disclosure of Interest notification in compliance with HKEx rules;
- Assist in Funds setting up works by coordination with lawyers, bankers and fund administrators;
- Handle ad hoc duties as assigned by team head from time to time.
For further information, please contact Edward at 2523 9955.