Job summary

Responsibilities:

  • To ensure operations are in adherence to applicable laws and regulations
  • To disseminate the relevant regulatory requirements to relevant business/functional units and perform gap/impact analysis as required
  • To review relevant polices and procedures to ensure they are updated to reflect changes in applicable laws and regulations
  • To perform compliance reviews according to compliance review plan
  • To advise and handle in...

Responsibilities:

  • To ensure operations are in adherence to applicable laws and regulations
  • To disseminate the relevant regulatory requirements to relevant business/functional units and perform gap/impact analysis as required
  • To review relevant polices and procedures to ensure they are updated to reflect changes in applicable laws and regulations
  • To perform compliance reviews according to compliance review plan
  • To advise and handle internal enquires on compliance issues arising from day-to-day operations and new products/services
  • Handle HKMA/SFC surveys/information requests/licensing matters
  • Handle ad-hoc tasks as assigned by the Head of Compliance

Qualifications:

  • Degree holder in Law, Accounting, Finance or business-related discipline
  • Minimum of 5 year legal & compliance working experience from financial service industries, previous experience with securities firm is a plus
  • A good team player and excellent communication, interpersonal and analytical skills
  • Proficient in written and spoken English
  • Individual with strong integrity and commercial sense

Our client offers an excellent remuneration package to the right candidate. Interested parties please kindly reach out to Kelvin Hung at 3907 2552/k.hung@gravitasgroup.com for a confidential discussion.

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