• Formulate, review, update and enhance the compliance monitoring programme on the Company’s various business activities and initiatives
  • Work with business units to identify the compliance requirements, develop control measures and any regular compliance report as required
  • Ensure proper licensing of both staff and corporation in accordance with SFC and regulatory bodies
  • Liaise with SFC and regulatory bodies and handle their queries / investigations
  • Execute anti-money laundering/counter Terrorism and anti-corruption compliance programs in line with company guidelines and procedures
  • Develop and conduct internal trainings on all compliance related issues
  • Assist to review, maintain and enhance the existing compliance manual and procedures
  • Conduct portfolio compliance monitoring using Bloomberg, including coding of investment restrictions, pre-trade and post trade monitoring
  • Perform trade surveillance
  • Perform ad hoc projects as required


  • University graduate in degree in Law, Accounting, Finance; or related disciplines
  • At least 5 years work experience in Compliance in securities or asset management or banking fields
  • Familiar with the Companies Ordinance, SFO, AMLO and good knowledge of securities and futures related legislations and regulations
  • Strong sense of corporate governance, internal controls and problem prevention
  • Excellent interpersonal, communication, and presentation skills
  • Responsible, logical, pro-active and well-organized
  • Passionate and team-oriented work attitude
  • Good command of written and spoken English and Mandarin
  • Knowledge in Bloomberg, WIND or equivalent
  • Proficiency in MS Office and Chinese Word Processing

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