Manager / Senior Associate
– SFC Licensed Corporation Consulting (Compliance, Accounting and Operation)
Alpha Financial Consultancy Limited
Job Highlights
Broad exposure in SFC licensed business – type 1, 4 and 9
Prospect to become a SFC licensed representative / responsible officer
Stable working hours
Good career prospects
Job Descriptions
Alpha Financial Consultancy Limited ( http://www.aimgroup.asia/ ) is an asset management business consultancy firm serving boutique fund managers, especially SFC Type 4 & 9 licensed corporations. We are looking for manager / senior associate candidates who have interest in developing in SFC licensed asset management business, and are keen to apply and grow their knowledge and experiences by working with a growing company like ours.
Responsibilities:
Perform compliance work, including compliance reviews, internal audits, compliance monitoring and record keeping (e.g. personal account dealing, CPT, gift/entertainment, complaints, etc.)
Prepare, maintain and/or implement compliance manuals, policies and procedures.
Prepare/review FRR, BRMQ, ADD, and other SFC surveys.
Prepare updates on SFC regulatory developments.
Handle regulatory compliance enquiries.
Handle book-keeping, management account preparation, and annual audit coordination.
Provide business development support, including preparing contracts, term sheets, sales pitches, etc.
Develop materials and/or conduct training relating to compliance, accounting and operation.
Handle finance management and office administrative tasks.
Develop and manage a team to perform the above responsibilities.
Requirements:
Degree holder in Finance/Accounting/Law/Risk Management or other related disciplines.
At least 3 to 5 years of compliance experience in SFC licensed type 1, 4 and 9 regulated activities.
Strong knowledge of laws, rules and regulations in respect of Type 1, 4, and 9 regulated activities.
Professional and practical approaches when providing regulatory compliance services.
Experience in handling bookkeeping and coordinating audits of SFC Type 4 and 9 business.
Hands-on, well organized, self-motivated, good interpersonal and leadership skills.
Work experience at the SFC is a plus.
Good command of spoken and written English, Cantonese and Mandarin.
Job format:
Full Time, 9:30 am – 6:30 pm Monday to Friday.
Bank holidays.
Work Location:
Cyberport Shuttle Service from / to: Yuen Long, Tuen Mun, Tsuen Wan, Mei Foo, Tai Wai, Kowloon Tong, Olympic, Hang Hau, Lam Tin, Central, Kennedy Town, Yau Tong, Taikoo Shing, Sheung Wan, Sai Wan, Causeway Bay, Aberdeen, Mong Kok, Yau Ma Tei; Please refer to the following for more locations:
https://www.cyberport.hk/files/getting_here_pdf/Tenant_Bus_Service_en.pdf Candidates will only be considered where their resumes include the current and expected salary information. Additional Information Career Level:
Mid Level Qualification:
Degree Yr(s) of Exp:
3 - 5 years Employment Type:
Full Time
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Cyberport Shuttle Service from / to: Yuen Long, Tuen Mun, Tsuen Wan, Mei Foo, Tai Wai, Kowloon Tong, Olympic, Hang Hau, Lam Tin, Central, Kennedy Town, Yau Tong, Taikoo Shing, Sheung Wan, Sai Wan, Causeway Bay, Aberdeen, Mong Kok, Yau Ma Tei; Please refer to the following for more locations:
https://www.cyberport.hk/files/getting_here_pdf/Tenant_Bus_Service_en.pdf Candidates will only be considered where their resumes include the current and expected salary information. Additional Information Career Level:
Mid Level Qualification:
Degree Yr(s) of Exp:
3 - 5 years Employment Type:
Full Time
#J-18808-Ljbffr
