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  • Job Industry:Legal & Compliance
  • Position:Officer - Legal and Compliance
  • Reference No:LCHK03251
  • Location:Central
  • Job Description:

    • Conduct compliance/ AML reviews and ad-hoc investigations.
    • Report non-compliance issues and suggest resolution and improvement plan.
    • Conduct customer due diligence and process account opening documentation.
    • Reviews and comments on operational documents, marketing materials, advertisements to ensure compliance with applicable legal and regulatory requirements.
    • Handle SFC enquiry and conduct related investigations.

  • Requirement:

    • Degree in Law, Finance, Accounting or any related disciplines is preferred.
    • At least 2 years relevant working experience in financial services sectors.
    • Good knowledge of SFO, its subsidiary rules and other SFC codes and guidelines.
    • Good command of written English and Chinese, fluent in Putonghua is an advantage.

  • Remarks:
Data collection will be treated in strict confidentiality and used solely for recruitment purposes. All related information will be kept in our database for up to 24 months.

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