General Compliance Assistant - Investment Banking

Job Description :

Duties:

• Assist review, update and enhance the compliance frameworks on the Company's various business activities and initiatives.
• Perform regular compliance reviews/ checking and monitoring to ensure regulatory and internal requirements are complied with;
• Make sure the daily operations comply with SFC and regulatory requirements in various markets;
• Requirements:
• Bachelor degree or above in law, finance, accounting or related disciplines;
• Min 4 years of relevant experience in securities/ futures brokerage firm, fund house, investment bank or sizable financial institutions
• Knowledge of SFO and HKEX rules in securities, futures and corporate finance
• Spoken and written Chinese (including Mandarin) and English skills.