Assistant Compliance Officer/Compliance Assistant

Responsibilities:

-          Conduct compliance monitoring reviews of regulated activities, e.g. securities & futures trading, corporate finance and asset management.

-          Monitor staff dealing activities.

-          Anti-money laundering compliance

-          Compile relevant information for submission in response to enquiries from regulators.

-          Monitor on-going obligations of licensees (corporates & individuals).

-          Arrange e-submission of monthly Financial Returns for licensed corporations.

-          Review and clear research reports.

Requirements:

-          University graduate, preferably in Accounting or Finance.

-          At least 1 year relevant working experience in Financial industry or compliance field

-          Familiar with SFO and relevant rules and regulations preferred but not essential.

-          Good analytical, interpersonal and communication skills

-          Good command of spoken and written English and Chinese, Putonghua will be an advantage

-          Experience in internal audit & risk management and dealing with regulators will be an advantage

-          Candidate with less experience would be considered as Compliance Assistant

We offered an attractive package including 5 days work week, work-life balance, friendly working environment, medical and dental benefits, etc.