Responsibilities:

• Provide compliance advice and support business initiatives
• Monitor the regulatory changes and update the policies and procedures
• Manage relationship with the relevant Exchanges and Regulators, handle regulatory reporting, inquiries and inspections
• Handle licensing matters and registration work
• Review sales and marketing materials on various products and services
• Deliver in-house compliance training
• Assist in ad hoc projects are required 

Requirement Qualification:

• Undergraduate Degree in Law, Accountancy, Finance, or related disciplines
• Minimum 1-2 years of work experience in law firms, brokerage firms or financial institutions, big 4 audit firm experience is a plus
• Good understanding of SFC codes and regulatory requirements of securities brokerage and fund distribution
• Knowledge of securities and investment products and its operation is a plus
• Responsible, hardworking and well-organized
• A team player with strong communication and analytical skills as well as high degree of professional maturity
• Excellent verbal and written communication skills both in Chinese and English, proficiency in Mandarin is a plus