Job Purpose

• General compliance function and company secretary assistant
• This role is reporting to Head of Legal and Compliance, assist in the implementation of compliance program as required to support SFC regulated activities and company’s daily operation.
• Looking for high potential candidate on managing evolving business needs and regulatory challenges 

Key Responsibilities

• Assist to implement and maintaineffective compliance program (including but not limited to policies and procedures) to ensure compliance with the applicable regulatory requirements
• Assist in compliance monitoring, testing and internal reviews and handle licensing application
• Assist in training programs including preparation and circulation of new/update regulatory requirements
• Timely communicate with relevant regulators (e.g. SFC, HKEX) and internal teams and staff on any material issues or findings and provide solutions to properly address the issue
• Assist in company secretarial duties, including manage board resolutions and other governance documents
• Liaise with various stakeholders (e.g. auditor; register agent etc.), handling information requests and any other queries
• Handle Head Office enquiries and reporting in timely manner

Requirements

• Degree holder in Law, Accounting, Finance or related discipline(s).
• Minimum 2 to 5 years of compliance experience in a sizable investment banking (regulatory body is preferable).
• Good knowledge in securities regulations, business operations, financial products and services.
• Self-motivated, independent,multi-tasking and strong sense of responsibility, with good interpersonal and communication skills at all levels.
• Demonstrate organized anddetails-oriented capabilities, problem solving and analytical skills.
• Good command of written and spoken English and Chinese (including Mandarin)