- Maintain the daily working relationship with SFC and other regulatory bodies
- Perform compliance review planned in the annual compliance review plan
- Perform the annual assessment of internal controls governing sponsor work.
- Monitor and track the remediation actions suggested in the compliance review report
- Degree holder in Business Administration, Accounting, Risk Management, Law or related disciplines
- Minimum 8 years of internal audit/compliance review/regulatory compliance experience, with exposure to investment banking/ securities industry operations
- Fluency in Mandarin and English, and excellent presentation and written skills