Job Duties : Advise department heads and business units on compliance matters, with a major focus on Type 1, 2, 6, and 9 regulated activities under the Securities and Futures Ordinance (SFO).
Provide proactive compliance advisory support to the FICC, Prime Brokerage, Wealth Management, and derivatives business (Type 11), covering regulatory, policy, and procedural implications of new business initiatives and major operational changes.
Handle regulatory investigations, enquiries, and surveys from the Securities and Futures Commission (SFC) and other regulatory bodies.
Conduct compliance reviews, internal control assessments, and regular compliance checks (including trade surveillance, suitability, and licensing reviews) to ensure adherence to regulatory requirements, company policies, and internal procedures.
Monitor, assess, and communicate regulatory developments (including those related to derivatives and structured products), and coordinate with relevant departments to implement appropriate compliance measures and standards.
Support the design and enhancement of compliance frameworks, policies, and controls to strengthen the firm's governance and risk management processes.
Prepare compliance reports and assist in staff training to enhance regulatory awareness across business units.
Undertake ad hoc compliance assignments and projects as directed from time to time.
Requirements : Bachelor's degree or professional qualification in Accountancy, Finance, Business, Legal, or a related discipline.
Minimum 7 years of relevant experience in compliance, internal audit, or related functions within the financial services industry.
Comprehensive knowledge of the Securities and Futures Ordinance (SFO) and SFC Codes and Guidelines; familiarity with investment products, derivatives, wealth management, and private banking is a strong advantage.
Proficient in PC applications, including Chinese word input.
High level of integrity, strong analytical ability, and excellent oral and written communication skills.
Independent, proactive, and able to manage multiple tasks effectively under pressure.
Strong team spirit, sound interpersonal and problem-solving skills, with a strong sense of responsibility and professionalism.
We offer attractive remuneration package and fringe benefits to the right candidate.
Interested applicants please send detailed resume stating present & expected salaries and date of availability to Human Resources & Administration Department by email.
