Job responsibilities
Law and regulation
• Assessing and responding to the relevant legal, regulations and statutory changes and advising management on the relevant rectification
• Liaising and coordinating with professions, e.g. lawyers and relevant authorities, to ensure that the Company is compliant with all relevant legal, regulatory and statutory requirements
• Advising on licensing requirement of the company and relevant staffs
Company Policies and Procedures
• Developing, updating and implementing compliance policies and procedures in accordance to the current rules and regulations and ensuring that the business is compliant in all aspects
• Developing, updating and implementing the policies and procedures on due diligence and background check (e.g. Know Your Customers KYC, and etc) and anti-money laundering (AML)
• Developing, reviewing and delivering compliance training to employees and independent contractors
• Investigating and handle actual and potential compliance breaches and reporting all compliance issues and breaches (e.g. suspicious transactions) to management
• Providing compliance advisory support to internal staffs
• Reviewing product launches, disclosures and sales literature
• Developing and implementing data protection policies and procedures
• Maintaining company’s policies and procedure database
Internal Auditing and Controls
• Developing, updating, implementing audit program and internal control policy and procedures
• Conducting periodic independent compliance / audit checks and highlight inadequacies and weakness to management
Client complaints handling
• Handling client disputes and legal claims
• Conducting investigations into client complaints
• Ensuring complaints are recorded and responded to within regulatory guidelines
Preferred Qualification
Ability to work under pressure
Adaptive
Analytical
Bachelor degree holders
Committed
Flexible
Fluent in communicating with stakeholders in spoken and written English and Chinese
Follow through until objectives are met
Good communication and interpersonal skills
Good problem-solving skills
Good team player
Good telephone etiquette
High level of Integrity
High standard of business ethics
Independent
Meticulous
Organized
Pleasant
Positive attitude
Proactive
Proficient in Microsoft Office
Resourceful
Responsible
Responsive
Self-motivated
Strong sense of urgency
Tactful
Take ownership of problems and solve the problems
Tenacious
Trustworthy
We invite all interested and qualified candidates to apply for this employment opportunity. Please send your detailed resume with a recent photograph to our Director at [email protected] today. We apologise that only shortlisted candidates will be notified.
We offer a competitive reward package and flexible working arrangements.
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