Job description Our Client: A Top-tier PRC firm with SFC type 1,4,6,9 licenses, is now looking for a Manager/ Assistant Manager to join their Compliance team. Role Overview: 1. Responsible for handling SFC enquiries and licensing matters; 2. Assist with regulatory inspection and prepare documents required by the SFC; 3. Handle inquiries and liaise with SFC HKEX and other regulatory organizations; 4. Review and update compliance policies and procedures in alignment with latest regulatory requirements; 5. Perform AML functions on an on-going basis, including monitoring and reporting of suspicious transactions and activities; 6. Take part in ad hoc assignments or projects. Ideal Profile: 1. Degree in Accountancy, Finance, Law or related subjects; 2. At least 3 year’s relevant experiences in securities firm or financial institution; 3. Knowledge of SFO, KYC, AML Guidelines and HKEX rules; 4. Hardworking, self-motivated and a good team player; 5. Good command of written and spoken English , Mandarin and Cantonese; 6. Proficient in Microsoft Office software and Chinese Word Processing.