Compliance & Risk Officer

Tasks and Responsibilities

• Assist in reviewing business documents and related materials to ensure compliance with relevant laws and regulations

• Responsible for license applications and the establishment of regulatory frameworks

• Handle ad-hoc assignments as required

• Regularly review the compliance and effectiveness of policies and procedures, and draft compliance reports according to compliance management requirements

• Advise the business on compliance issues in transactions and provide ongoing guidance to ensure adherence to compliance requirements.

Qualifications and Experience

• Holder of SFC Type 1, 4, and 9 licenses

• Degree holder in Business Administration, Risk Management, Law, or related disciplines

• Good knowledge of securities operations, products, and services; familiar with the Securities and Futures Ordinance and related codes and guidelines issued by the SFC, as well as Anti-Money Laundering/Know Your Customer (AML/KYC) and other relevant laws and regulations

• Good knowledge of securities operations, products, and services

• 8-10 years of relevant working experience in SFC licensed corporations

• Immediate availability preferred

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