工作類型：
全職
職責：
-
制定、實施及維護公司的合規政策與程序，確保其符合監管標準
-
處理與監管機構（如證監會 SFC）相關的牌照申請、通知及查詢
-
對交易活動進行定期監控，以偵測並預防潛在的違規行為
-
執行「認識你的客戶」(KYC) 及反洗錢 (AML) 審查、客戶開戶的盡職調查及持續監控
-
為員工提供合規培訓，在公司內部建立穩固的合規文化
-
審閱並批准市場推廣材料及對外通訊，確保其合規性
-
作為合規相關事宜的主要聯絡人，並按需協助處理臨時項目
要求：
-
持有法律、金融、會計或相關學科學位
-
具備至少2-3年金融服務行業的相關合規經驗
-
深入了解證監會 (SFC) 條例、反洗錢 (AML/CTF) 法規及其他相關法律框架
-
一絲不苟，具備高度的分析及解決問題的能力，並恪守誠信
-
積極主動，能獨立工作並在壓力下保持效率
-
具備卓越的溝通及人際交往能力（流利粵語及英語，懂普通話者優先）
我們提供：
-
五天工作週
-
績效獎金
-
年假
-
強積金 (MPF)
Job Type:
Full Time
Responsibilities:
-
Develop, implement, and maintain the firm's compliance policies and procedures to ensure adherence to regulatory standards
-
Handle licensing applications, notifications, and inquiries with regulatory bodies (e.g., SFC)
-
Conduct regular monitoring and surveillance of trading activities to detect and prevent potential compliance breaches
-
Perform KYC/AML checks, client onboarding due diligence, and ongoing monitoring
-
Provide compliance training to staff and foster a strong culture of compliance within the firm
-
Review and approve marketing materials and external communications to ensure regulatory compliance
-
Act as the primary point of contact for compliance-related inquiries and facilitate ad hoc projects as required
Requirements:
-
Degree holder in Law, Finance, Accounting, or a related discipline
-
Minimum of 2-3 years of relevant compliance experience within the financial services industry
-
Solid knowledge of SFC regulations, AML/CTF ordinances, and other relevant legal frameworks
-
Meticulous, highly analytical, with strong problem-solving skills and a high level of integrity
-
Proactive, independent, and able to work effectively under pressure
-
Excellent communication and interpersonal skills (fluent in Cantonese & English, Mandarin is a plus)
Our benefits include:
-
5-Day work week
-
Performance bonus
-
Annual leave
-
MPF