Job ref no.: CT3119652-01#2437

Compliance Assistant (SFC)

Mario Recruitment Limited

Job Responsibilities:

  • Manage and ensure policies and procedures are in compliance with Securities and Futures Ordinance and Codes and Guidelines;
  • Assist in all SFC regulated activities to ensure full regulatory compliance and good market practice;
  • Establish, enhance, monitor and perform compliance controls over operations and business activities
  • Develop and implement risk management, internal control and Compliance assurance program within the organization

Job Requirements:

  • University graduate (preferably in Law or Accountancy), professional qualification in CPA/CFA would be an advantage;
  • At least 2-3 years' solid compliance experience in financial intermediaries, professional firms or regulator;
  • Understanding of FRR would be an advantage
  • Familiar with the Securities and Futures Ordinance and Codes and Guidelines issued by the Securities and Futures Commission;
  • Well organized, self-motivated and good interpersonal skill; and
  • Good command of spoken and written English, Cantonese and Mandarin

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More job information
Job ref no. CT3119652-01#2437
  • N/A
Job Function
  • 2 years - 3 years
Career Level
  • Entry level
  • Degree