Compliance Executive

First Shanghai Investments Ltd; Hong Kong; On-site; HKD 240,000 - 360,000; Full time

Benefits offered by this job

5 days work week

Medical Insurance

Year-end Bonus

Job summary

First Shanghai Investments Limited is seeking highly driven individuals to grow with the company. You will handle SFC licensing, regulatory inquiries, and AML checks, while ensuring compliance with HKEX and internal policies.

The role includes drafting policies, liaising with authorities, preparing reports, and delivering staff training. Bachelor’s degree in related fields and English/Chinese proficiency are required. Attractive benefits accompany the position.

Qualifications

• Bachelor’s Degree or above in Business Administration, Finance, Accounting or related disciplines.
• At least 1 year exposure to SFC licensing applications, dealing with regulators, account opening, etc.
• Self-initiated, analytical indeed, and able to handle multi-tasks under tight schedule.
• Good collaborative teamwork spirit.
• Good communication and presentation skills with excellent command of Chinese and English (both spoken and written).

Responsibilities

• Handle general enquiries from SFC regulations Type 1, 4, 6, 9, HKEX and dealing with regulators.
• Manage license applications and provide advice on licensing issues.
• Manage client regulatory and compliance policies and monitor risk to fulfill SFC / HKEX requirements.
• Monitor the Company’s operation and employee dealing, and perform compliance and AML checking to ensure compliance with rules and regulations, and internal policies and procedures.
• Review and update internal policies and procedures and ongoing compliance monitoring programs for adherence to legal and regulatory requirements including anti-money laundering and customer due diligence.
• Review and draft company documents for internal control, customer service and compliance.
• Assist in ongoing and ad hoc compliance projects/reviews responding to regulatory changes, system enhancements.
• Liaise with regulatory authorities and other relevant counter parties for regulatory enquiries, regulatory filings and requests.
• Assist in preparing compliance review reports.
• Deliver in-house staff training on relevant compliance topics.
• Report to the Head of Legal and Compliance, and handle ad-hoc duties as required.

Skills

Analytical mindset

Communication skills

Presentation skills

Education

Bachelor’s degree or above in Business, Finance, Accounting or related disciplines

Tools

MS Word

Job description

First Shanghai Investments Limited is looking for highly driven individuals who are motivated to grow and excel with the company.

Job Responsibilities

• Handle general enquiries from SFCregulations Type 1, 4, 6, 9, HKEX and dealing with regulators;
• Manage license applications and provide advice on licensing issues;
• Manage client regulatory and compliance policies and monitor risk to fulfill SFC / HKEX requirements;
• Monitor the Company’s operation and employee dealing, and perform compliance and AML checking to ensure compliance with rules and regulations, and internal policies and procedures;
• Assist toreviewand update the internal policies and procedures and ongoing compliance monitoring programs for adherence to legal and regulatory; requirementsincluding anti-money laundering and customer due diligence;
• Assist to review and draft company documents for the purpose of internal control, customer service and compliance;
• Assist the ongoing and ad hoc compliance projects/reviews responding to regulatory changes, system enhancements;
• Liaise with regulatory authoritiesand other relevant counter parties for regulatory enquiries, regulatory filings and requests;
• Assist in preparing compliancereviewreports;
• Deliver in-house staff training on relevant compliance topics;
• Report to the Head of Legal and Compliance, and handle any ad-hoc duties as required.

Job Specification

• Bachelor's Degree or above with major in Business Administration, Finance, Accounting or related disciplines
• At least 1 year exposure to SFC licensing applications, dealing with regulators, account opening, etc,
• Self-initiated, analytical indeed, and able to handle multi-tasks under tight schedule.
• Good collaborative teamwork spirit.
• Good communication and presentation skills with excellent command of Chinese and English (both spoken and written).
• Proficient in computer applications (MS Word).

We offer an attractive package including 5 days work, Medical Insurance and Year-end Bonus to the right candidate.

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