1.Responsible for ongoing compliance monitoring 、 compliance checkand compliance report preparation for management review on periodic basis ；
2.Liaise with asset management department on corporate integrity and regulatory compliance;
3.Assist in fund establishment projects including fund documentation drafting and review, account opening, KYC verification and AML screening;
4.Perform SFC licensing tasks such as individual licence application, notifications and returns submission;
5.Maintain and update internal policies and procedural manuals to ensure compliance with latest regulatory requirements;
6.Prepare responses to SFC’s inquiries, notice or client’s complaints.
The Successful Applicant:
1.Bachelor degree or above in Law, Finance or a related discipline;
2.3 years or above experience in FS compliance, preferably from fund industry;
3.Knowledge in SFO and SFC regulations would be an advantage;
4.Strong analytical, problem-solving and communication skills;
5.Good command of verbal and written both English and Chinese (Mandarin and Cantonese);
6.Self-motivated with the ability to multitask in a fast-paced environment.