Prepare regulatory reporting, Short Position Reporting, Disclosure of Interest, etc.
Coordinate regulatory enquiries, reporting, inspection or investigation, SFC S, S, etc.
Carry out the compliance testing, monitor stock trading activities ensuring relevant regulatory requirements
Manage HK regulatory licensing related matters staff application and collection of supporting documents, form completion, processing annual return, requisite filings, notifications to staff and maintaining relevant licensing records
Coordinate new hire and ongoing trainings and maintain employee Continuous professional training records
Manage other core compliance functions including new staff dealing account approval; assigning trainings to employees; personal account trading review and etc.
Prepare regular risk and management information report to senior management
Assist in coordinating action items in r...
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