Description

Our client is one of the key securities brokerage in the industry. They are currently seeking for a regulatory compliance professional to join the team.

Key Responsibilities:

• Ensure compliance with all regulatory requirements set forth by SFC.
• Develop, implement, and maintain compliance policies and procedures.
• Monitor regulatory developments and assess their impact on the firm's operations.
• Conduct compliance audits and risk assessments.
• Coordinate with internal departments to facilitate compliance training and awareness.
• Assist in the preparation of reports and submissions to regulatory bodies.
• Collaborate with external auditors and regulatory agencies during inspections and audits.

Qualifications:

• Bachelor's degree in Finance, Business, Law, or a related field.
• 5 years+ of experience in regulatory compliance within the securities industry.
• In-depth understanding of SFC regulations and compliance requirements.
• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal skills.
• Ability to work independently and collaboratively in a fast-paced environment.

Our client offers excellent remuneration package to the right candidate. Interested parties please kindly reach out to Eunice Lee at 3907 0744/e.lee@gravitasgroup.com for a confidential discussion.