Job Responsibilities
- Design compliance surveillance programs
- Conduct compliance monitoring and reviews
- Prepare and develop compliance policies and procedures and related guidelines
- Handle SFC enquiries and S181, S182, and S183 investigations by SFC
- Participate in ad hoc compliance project
Job Requirements
- University degree in business, law or related discipline
- Minimum 5 years of compliance experience within financial service, particularl in securities brokerage or wealth management
- Experience in leading compliance training
- Good understanding in SFC and other regulatory authorities
