Key Responsibilities:

• Perform and handle full spectrum of compliance duties for Sun International Securities Limited and its affiliated companies
• Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies.
• Handle regulatory procedures in dealing with external regulatory institutions, e.g. enquiries, licensing matters, notification, annual return and survey as required by the regulators
• To assist in developing, updating and reviewing policies, procedures and guidelines from the compliance perspective
• Jointly conduct AML / KYC assessments and transaction monitoring on AML as well as perform an internal control function to ensure the business and operations are in compliance with regulatory requirements
• Develop training materials and coordinate compliance / AML training
• Preparing regular and ad hoc compliance report

 Requirements:

• Bachelor degree in business, finance, law or related field
• Minimum 3 years compliance experience in a Securities firm.  Applicants previously employed in the professional firms (accounting firms, solicitors or regulators) on the audit, compliance or investigation of Securities companies or Banks will also be considered.
• Good understanding of SFO and other relevant rules and regulations.
• High sense of responsibility with good organizing, communication and presentation skills
• Self-motivated, possessing initiative and ability to work independently
• Good command of written & spoken English and Chinese including Mandarin