Job Responsibilities
- Handling SFC licensing application, licensing matters and requirements
- Keep track of SFC / SEC regulatory changes and EDSP
- Conduct day-to-day compliance tasks, including monitoring/surveillance, SFC filings, review and collection of brokerage statements
- Advise on investment compliance function
- Handle ad hoc compliance project
Job Requirements
- Bachelor's Degree required; law degree optional
- 5+ years of experience in regulatory and investment compliance for sizeable fund house
- Fluency in Mandarin, Cantonese, and English
- Ability to multi-task across a range of projects with constantly shifting priorities