Our client is one of the Chinese listed company that has SFC type 1,4,9 licences. Their Legal and Compliance department is hiring Compliance Director who will be fully in charge of all compliance related mandates, along with 4 legal counsels (including GC) in the team (Replacement Role).
- Handle all general compliance matters related to Type 1, 4 & 9 regulated activities under the SFO.
- Draft, prepare or coordinate compliance reports for internal or external purposes.
- Conducting AML/KYC checking and other necessary investigations.
- Handle inquiries, inspections and investigations from SFC.
- Coordinate or conduct regular compliance training
- Provide support to the Group's business, management and operations units on compliance-related matters
- Bachelor' degree or above.
- 6+ years working experience in SFC LC and familiar with SFC 1,4 & 9 regulatory activities.
- Sound knowledge of the SFO and other relevant codes and regulations.
- Good command of English, Cantonese and Mandarin.
- Strong problem-solving and analytical skills.
- Around 90,000HKD expected monthly salary is ideal