Regulatory Compliance - Legal and Compliance (1-Year Renewable Contract)

Responsibilities Support the regulatory compliance function covering licensing and the regulated activities including the investment and insurance distribution activities and asset management Keep track of regulatory updates, establish and maintain regulatory register and identify gaps Assist to formulate the compliance program and conduct the compliance review Prepare compliance training materials Assist in end-to-end investigation on Clients’ Complaints and self-escalated misconduct including

CMB International Capital Corporation Limited - Hong Kong - Full time

Salary: Negotiable

Responsibilities

  • Support the regulatory compliance function covering licensing and the regulated activities including the investment and insurance distribution activities and asset management
  • Keep track of regulatory updates, establish and maintain regulatory register and identify gaps
  • Assist to formulate the compliance program and conduct the compliance review
  • Prepare compliance training materials
  • Assist in end-to-end investigation on Clients Complaints and self-escalated misconduct including the investigation report
  • Assist in other compliance related tasks as assigned

Qualifications

  • University degree
  • At least 2 years or relevant experience in SFC licensed corporation
  • Familiar with the SFC rules and regulations and industry practices
  • Strong interpersonal and communication skills, self-motivated, responsible and fast paced work under pressure and meet tight deadlines
  • Fluent in Mandarin, English and Cantonese
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