To apply online, please click the "Apply" button below. For a confidential discussion about this role, please contact Winnie Cheung on firstname.lastname@example.org Responsibilities
- Liaise with key regulators, and manages day to day routine and ad-hoc regulatory engagements, correspondences, surveys and requests for information.
- Liaise with relevant internal stakeholders to ensure prompt and timely response to the regulators, the dissemination of regulatory circulars, notices, literature to the relevant business or operations units and follow-up with the respective units on the action/implementation plan
- Assess and escalate any matter or issue that could be of significant regulatory concern, including the assessment of incidents to determine if it constitutes a regulatory breach, and ensure that breaches are notified to the regulators in a timely manner
- Provide compliance oversight to China and Macau subsidiaries and acts as their contact point on compliance and functional assignments and tasks.
- Assist in preparing and coordinating responses to regulatory inquiries, assist in reporting any compliance related issues to SG Head Office, Regulators and Management
- Handle special projects and functional reporting and projects as assigned by supervisor
- Degree holder in Law, Accounting, Finance or related disciplines, preferable with professional qualification in Law/Accountancy/Finance
- Minimum 3 years of compliance experience in securities/futures brokerage industry
- Knowledge in formulating compliance checking procedures and conduct compliance checking
- Knowledge in SFC, HKEx regulations and other regulatory requirements in relation to corporate finance, dealing in securities, dealing in futures contract and internet trading
- A team player with strong communication and analytical skills as well as high degree of professional maturity
- Able to work independently
- Strong command of written and spoken English & Chinese, including Mandarin
- Immediately available is highly preferred