Compliance Assistant (SFC)

Job Responsibilities:

• Manage and ensure policies and procedures are in compliance with Securities and Futures Ordinance and Codes and Guidelines;
• Assist in all SFC regulated activities to ensure full regulatory compliance and good market practice;
• Establish, enhance, monitor and perform compliance controls over operations and business activities
• Develop and implement risk management, internal control and Compliance assurance program within the organization

Job Requirements:

• University graduate (preferably in Law or Accountancy), professional qualification in CPA/CFA would be an advantage;
• At least 2-3 years' solid compliance experience in financial intermediaries, professional firms or regulator;
• Understanding of FRR would be an advantage
• Familiar with the Securities and Futures Ordinance and Codes and Guidelines issued by the Securities and Futures Commission;
• Well organized, self-motivated and good interpersonal skill; and
• Good command of spoken and written English, Cantonese and Mandarin