Our client is a Foreign Financial Institution and their business cover Hong Kong, China and Singapore. Due to upcoming expansion plans, they are currently seeking for a high caliber individual to join them as a Compliance Specialist.
- Responsible for compliance reviews, risk monitoring reviews and internal control reviews to ensure that operation complies with company's policy and regulatory ( SFC 1, 2, 4, 6 )
- Review legal documentation
- Monitor investment products regulatory development
- Organize/provide CPT training to SFC license holders
- Supervise the staff to handle the Regulatory Compliance works
- Degree Holder in Accounting / Finance / Law or any related disciplines
- At least 5 years relevant working experience in compliance field
- Familiar with SFO and HKEX rules in securities, futures and corporate finance as well as the operations, products and services in licensed corporations.
- Good communication skills; fluent in Cantonese and proficient in both English and Mandarin