Responsibilities:

1. Provide day-to-day compliance advisory to business units in relation to Type 1,2,4,6,9 regulated activities.
2. Provide compliance advice on license applications, notifications, enquiries, complaints, surveys and maintain relevant records particular for key regulatory positions including but not limited to RO and MIC appointment and cessation independently.
3. Conduct compliance reviews of internal policies and procedures, significant business decisions, and new product/business initiatives; including internal compliance trainings and maintain CPT records.
4. Review and monitor information barriers, Chinese Wall arrangements, conflicts of interest management, insider information controls, restricted lists and watch lists.
5. Organize and implement specialized compliance monitoring programs and conduct regular reviews including staff dealing activities to identify potential compliance or internal control issues.
6. Review and monitor compliance with the Securities and Futures Ordinance (SFO), Code of Conduct, Corporate Finance Adviser Code of Conduct, Sponsor Guidelines, Fund Manager Code of Conduct, AML/CFT requirements and other applicable regulatory requirements.
7. Conducting AML/KYC/STR(Suspicious Transaction Reporting) checking and other necessary investigations.
8. Responsible for providing advice on FATCA and CRS compliance and review relevant procedures.
9. Monitor regulatory developments, SFC circulars, consultation conclusions, codes and guidelines, and assess their impact on the business operations.
10. Provide professional compliance advice on legal documents and external

Requirements:

1. Degree holder in Business, Finance, Law or other related disciplines.
2. Minimum of 6-10 years of compliance experience within an SFC-licensed corporation, regulatory body, law firm, or professional compliance consultancy. Prior exposure with ETF is an advantage.
3. Solid hands-on experience supporting one or more regulated activities including Type 1, 2, 4, 6 and 9 regulated businesses.
4. Thorough knowledge of the Hong Kong Securities and Futures Ordinance, AML regulations, and relevant Codes of Conduct/Guidelines. Familiarity with the operational workflows and core compliance risks of regulated activities (e.g., Asset Management, Securities Brokerage).
5. Solid experience in dealing directly with regulatory authorities.
6. Strong analytical skills, attention to detail, and ability to provide practical and commercial compliance solutions.
7. Excellent communication and presentation skills.
8. Good command of spoken and written English and Chinese including Mandarin.