About the role
FinEx AI summary
Monitor regulatory changes, handle regulatory reporting and SFC matters, review research reports, manage licensing and staff dealing, maintain restricted lists, and conduct compliance training. Requires a degree in law, accountancy, finance or related fields, with at least 2 years' experience in brokerage, financial institutions, audit or law firms. Strong knowledge of SFC regulations and securities…
Core skills
Regulatory complianceSFC regulationsSecurities operationsFATCAQICRS