Job Description
Responsibilities:
Assist in regulatory reporting, coordinating and liaising with regulatory authorities for regulatory enquiries, reporting, inspection or investigation; assist in coordinating action items in relation to new regulatory initiatives and requirements Assist in carrying out the monitoring and surveillance of the stock trading activities Assist in managing 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 Assist in coordinating new hire and ongoing trainings and maintain employee Continuous professional training records Assist in managing a number of core compliance functions including new staff dealing account approval; assigning trainings to employees; personal account trading review and etc. Assist in conducting investigation into any ...
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