RaffAello Capital Limited is a licensed corporation to carry on Type 6 (advising on corporate finance)regulated activites under the Securities and Futures Ordinace in Hong Kong. We are now seeking for high-calibre candidates for the following positions to cope with our business expansion.
Job Highlights
Degree / Diploma holder
All-round Compliance role
Strong analytical & problem solving skills
Job Description:Job Responsibilities:
Assist in compiling operational/internal control procedures, review the compliance manual and other documents, update SFC Rules and Guidelines including Code of Conduct and Anti-Money Laundering Guideline, etc. and circulate to staff for compliance purpose;
Prepare licensing applications, notifications, annual returns, survey and any ad hoc reports as required by SFC and assist in handling SFC enquires and the related investigations;
Review advertisement, marketing materials and webpage for adherence to regulatory requirements;
Perform routine review on staff personal dealing and maintenance of records;
Arrange & deliver trainings for compliance-related topics to increase compliance awareness of staff members; and maintain CPT records for licensed staff;
Take up ad hoc compliance-related tasks such as new business or product development.
Job Requirements:
Degree / Diploma holder or in possession of Accounting, Finance, Law or other related discipline;
1-2 years regulatory / compliance experience preferred. Sound Hong Kong securities regulations knowledge. Proficient in SFO and its application; well-versed with trading rules and Listing Rules will be advantageous;
Good written and verbal communication skills in English and Chinese, with Mandarin being advantageous;
Self-initiative, independent and willing to work under pressure;
Strong analytical and problem solving skills.
For interested candidates, please send your application letter and resume together with current and expected salary as well as availability date by email. Personal data collected will be treated in strict confidence and used for recruitment purpose only.
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Full-time,Permanent
