Key Duties & Responsibilities Executing a range of compliance monitoring duties, including the approval and checking of personal transactions, reviewing fund newsletters, preparing regulatory reports, documenting continuous professional training (CPT), assessing compliance with sanctions, and monitoring any breaches in investment.

The aim is to ensure all activities align with regulatory guidelines and the company's policies Handling SFC licensing, including completing questionnaires, applying for licenses, and submitting necessary notifications and returns Facilitating the fund onboarding process, initiating account setups, and conducting AML screenings in conjunction with KYC verifications Liaising with both external and internal parties, such as fund counterparties and clients, to communicate compliance requirements related to fund transactions.

Keeping abreast of regulatory changes and ensure timely revision and application of pertinent policies and procedural manuals to align with the latest regulatory demands Perform ad-hoc assignments as required Requirements and Qualifications Proven 1-2 years’ working experience in the Compliance Sector Holding a degree or professional qualification in Legal, Economics, Finance, Accounting or related disciplines.

Familiar with the Securities and Futures Ordinance and Securities and Futures Commission’s codes and guidelines, particularly related to private funds and asset management is highly regarded Strong skills in VBA/Macros is preferable (or a plus) Well versed in research and communication Strong communication in English and Chinese including Mandarin – verbal and written Proficiency in MS Office, including Word, Excel, and Power Point Ambitious with a good attitude, strong attention to detail, a self-starter and able to work under pressure