Company Description: A leading financial institution in the securities industry, committed to providing comprehensive and professional financial services.
Location: Hong Kong
Nature: Permanent
• Reviewing, developing, and implementing compliance policies and internal control procedures to ensure adherence to regulatory requirements.
• Performing internal audits and risk assessments across business activities, primarily focusing on equities and funds.
• Providing professional advice and guidance to various departments on regulatory and compliance matters, specifically related to SFC license types 1, 4, 5, and 9.
• Preparing detailed reports on compliance findings and presenting recommendations directly to the Chief Executive Officer (CEO).
• Coordinating with external auditors and regulatory bodies during examinations and inquiries.
• Relevant experience in a compliance or audit role within the financial or securities sector, with exposure to equities and funds.
• Strong understanding of local regulatory frameworks and industry best practices related to SFC license types 1, 4, 5, and 9.
• Excellent analytical skills with the ability to interpret complex financial regulations and assess potential risks.
• Proficient communication skills in both written and spoken English and Chinese (Cantonese/Mandarin).
• A relevant degree in Finance, Accounting, Law, or a related discipline.
