Job Description
<Job Responsibilities>
• Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
• Provide staff training related to compliance guidelines and requirements
• Liaise with SFC and regulators for any inquiries and requests
• Assist in consultation raised by the operation team relating to compliance issues, including due diligence and AML / PDD / KYC suitability policy
• Keep abreast of new regulatory requirements published by SFC and FATCA etc.
<Necessary Skill / Experience >
• Bachelor's degree or above
• At least 3 years of relevant experience in the finance sector(securities firm preferred)
• Good knowledge of the SFO and SFC codes and Guidelines
• Fluent in English, Cantonese, and Mandarin
• Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
• Provide staff training related to compliance guidelines and requirements
• Liaise with SFC and regulators for any inquiries and requests
• Assist in consultation raised by the operation team relating to compliance issues, including due diligence and AML / PDD / KYC suitability policy
• Keep abreast of new regulatory requirements published by SFC and FATCA etc.
<Necessary Skill / Experience >
• Bachelor's degree or above
• At least 3 years of relevant experience in the finance sector(securities firm preferred)
• Good knowledge of the SFO and SFC codes and Guidelines
• Fluent in English, Cantonese, and Mandarin