We are now looking for talented compliance consultant with solid experience in dealing with on-going SFC compliance matters.
As a part of the team, you will be helping clients on:
Responsible for Hong Kong regulatory work including SFC enquiries and investigations
Handle licensing matters, notification, annual return, survey and other ad hoc reports as required by the regulators.
Develop, update and review compliance policies, procedures and guidelines from the compliance perspective and circulate to staff for compliance purpose
Handle internal compliance review and control, to ensure compliance policies and procedures are followed and maintained the rules and regulations
Bachelor or Master degree in Law or Commerce.
3 to 5 years solid experience in dealing with SFC license applications and on-going SFC compliance matters for SFC licensed firms;
Ideally have worked in another compliance firm, in house compliance role in an asset management firm, or the SFC;
Strong analytical and solid problem solving capabilities;
Proficiency in English and Mandarin and Cantonese is a must.