Handle SFC licensing matters including but not limited to delisting or relisting applications;
Perform compliance control and monitoring programs including but not limited to control room, AML checking, and trade surveillance;
Handle the third-party and VIL deposit and withdrawal applications of the business units and perform the checking on the supporting documents and authorization relationships;
Assist in handling investigations and surveys received from regulators;
Handle other compliance matters / ad hoc matters assigned by the Legal & Compliance Department.
Requirements:
Degree holder in Business Administration, Risk Management, Law or related disciplines.
Possesses knowledge in SFC rules and regulatory requirements ;
Minimum 3 years of compliance experience in financial institutions or professional services firms;
Self-motivated, independent, meticulous, analytical and responsible;
Strong organizational skills and ability to multi-task and work under pressure;
Proficiency in written and spoken English and Chinese, and Fluency in Mandarin is preferred;
Less experience will be considered as Compliance Officer.