Lumineux Securities Limited
Job Description Lumineux Securities Limited is looking for the position of: -                              Compliance Officer       Responsibilities l   Carry out compliance duties for Type 1, 4, and 9 regulated activities of Lumineux Securities Limited and Lumineux Asset Management Limited l   Ensure company policies, internal control procedures & manuals are complied with regulatory requirements l   Act as main point of contact with regulators, legal counsels and consultants and handle inquiries and information requests from regulatory bodies and auditors, e.g. SFC and HKEX l   Advise on compliance aspects relating to securities, asset management, licensing and related matters l   Handle client complaints and perform necessary investigation l   Assist in conducting regular compliance checks and AML checking; and monitor policies’ implementation with regards to updated regulatory requirements; l   Assist in delivering compliance training to staff and licensed sales force; l   Assist in formulating/updating policies and procedures to ensure compliance of business with relevant rules and regulations;   Requirements l   University degree preferably in law or related disciplines l   At least 3 years of solid working experience in audit or compliance field l   Excellent knowledge of rules and regulations relating to securities brokerage, corporate finance and asset management business l   Experience in liaising with SFC and HKEx l   Familiar with compliance issues such as AML and KYC l   Good command of spoken and written English, Cantonese and Mandarin l   Immediately available is preferred       Interested applicant please send detailed resume, present and expected salary by email
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