General Compliance, Investment Bank

• A Reputable Chinese Investment Bank/Securities

about the team.

• You will be joining a team of 13 members in Compliance Department

about the job.

• Assist in all SFC licensing matters; including corporate license related issue, Sponsor Principal, RO license application and renewal, arrange MIC appointment etc
• Review and update internal policies and procedures to ensure compliance with latest regulations
• Assist in handling regulatory requests and enquiries, survey, inspection etc
• Assist in global initiatives, including compliance system implementation and upgrade, change in group policies...