Our client is an expanding listed investment firm with significant growth and excellent business plans for success in the coming future.  They do various business including securities, asset management, corporate finance, etc. (SFC licensed activities #1, 2, 4, 6 & 9) 

• Report to the Chief Legal & Compliance Officer and supervise a team of 3 subordinates to effective the day-to-day compliance activities for the businesses of Corporate Finance and Asset Management
• Oversee all compliance related matters as well as provide professional regulatory advice to all BUs and departments to ensure the regulatory compliance with SFO and other relevant regulations
• Liaise with HKEX, SFC and relevant regulatory bodies for all compliance and licensing matters as well as identify and evaluate compliance risks of the operations and business activities
• Establish and maintain compliance policies, procedures and manuals for all business units with effective measurements for internal control purpose
• Keep abreast of updated regulations and take initiative approach to advise the updates and drive for necessary changes to the BUs and departments
• Undertake ad hoc assignments or projects as required