Compliance Officer, SFC Regulatory (2yrs rel exp/ English speaking office)

• University graduates preferably with major in law / business / accounting or related discipline
• Minimum 2 years’ relevant experience in experience in the legal / compliance / AML function, experience from securities/ investment/asset management
• Proficient in Microsoft Office, particularly in Excel and Word would be an advantage; knowledge in macros is a plus
• Basic knowledge of current financial market situation or financial product would be an advantage

• Perform and manage regulatory and general compliance issues, such as licensing, personal account dealing, compliance training and other reporting and filing to regulators
• Assist in developing a risk-based compliance review program and perform compliance checking of adherence to internal and regulatory requirements
• Assist in reviewing business processes, product due diligence, KYC/CDD documents, marketing materials and other legal or compliance documentation
• Report any key findings to senior members and assist in the preparation of due diligence report or other deliverables
• Assist with the maintenance of policies and procedures, update various compliance control registers and conduct industry research and regulatory gap analysis related to changing regulatory landscape
• Support with regulatory, audit, and similar queries and inspections
• Perform ad hoc projects assigned by management from time to time

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