Company Overview
A Chinese investment bank providing extensive services in investment research, corporate finance, securities brokerage, and asset management is currently seeking a proactive individual with strong communication skills and considerable business acumen. This individual will join the Legal & Compliance department as a Company Secretary to handle secretarial matters and support regulatory activities.
Job Requirements
- Support maintenance and implementation of compliance program and ensure it is compliant with regulatory requirements
- Handle and liaise with internal/ external stakeholders on company secretarial and regulatory compliance matters
- Assist in day-to-day operations such as, but not limited to licensing, monitoring, testing, internal reviews and compliance advisory matters
- Liaise with relevant regulators (ex. SFC/ HKEX/ CR) and internal stakeholders on any material findings and assess issues
- Assist relevant stakeholders (ex. auditor/ register agent/ etc.) with secretarial/ compliance related information and queries
- Provide support in ad-hoc assignments
Qualifications
- Bachelor's degree in Business, Law, Accounting, or related disciplines
- Around 1-3 years of compliance/ company secretary experience; especially in investment bank or regulatory bodies is highly preferred
- Good understanding in listing rules, securities regulations, business operations, financial products and services, risk assessments is highly preferred
- Proficient in written & spoken English and Chinese (including Mandarin)
