Posted on 2021-10-08

Compliance-SFC Type 9

CHINA INDUSTRIAL SECURITIES INTERNATIONAL FINANCIAL GROUP LIMITED

JobDescription

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.

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Location
  • Sheung Wan
Employment Term
  • Full-time
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