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- Handle SFC licensing matters including but not limited to delisting or relisting applications;
- Perform compliance control and monitoring programs including but not limited to control room, AML checking, and trade surveillance;
- Handle the third-party and VIL deposit and withdrawal applications of the business units and perform the checking on the supporting documents and authorization relationships;
- Assist in handling investigations and surveys received from regulators;
- Handle other compliance matters / ad hoc matters assigned by the Legal & Compliance Department.
- Degree holder in Business Administration, Risk Management, Law or related disciplines.
- Possesses knowledge in SFC rules and regulatory requirements ;
- Minimum 5 years of compliance experience in financial institutions or professional services firms;
- Self-motivated, independent, meticulous, analytical and responsible;
- Strong organizational skills and ability to multi-task and work under pressure;
- Proficiency in written and spoken English and Chinese, and Fluency in Mandarin is preferred.
Assistant Manager, Compliance - Hong Kong, 香港 - Valuable Capital Limited
描述
Responsibilities:
Requirements: