Regulatory Compliance

Junior Associate Level

Green Lake Executive Search Co. Limited - Hong Kong - Full time

Salary: Competitive

  • Liaise with the SFC:This involves communicating with the SFC regarding license applications,includes addressing any inquiries from SFC about various types of applications.
  • Maintain regular compliance review program against business activities of the Group:This responsibility entails regularly assessing the group's business activities to ensure they comply with relevant laws,regulations,and internal policies.
  • Preparing responses to SFC inquiries and investigations:when SFC raises questions/investigations,this responsibility involves gathering information,analyzing,and crafting appropriate responses.
  • Requires good command of English,Cantonese and Mandarin
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