Experience

六福金融 LUKFOOK FINANCIAL

• Hong Kong
• Financial Services
• 1 - 100 Employee

• Compliance Officer

  • Apr 2021 - Present

  - Handle licensing matters, incl. corporate & individual, under regulatory bodies. SFC (Type 1,4,9)/ IA/ MPFA) - Liaise with and handle regulators' enquires (SFC/IA/MPFA/HKEX), ranging from surveillance / Intermediaries/ licensing enquires. - Prepare compliance monitoring reports (ad hoc/routine) on suspicious trading activities, fund in-out movement, random checking on account opening documents, staff dealing, etc. - Prepare yearly FATCA submission to US's IRS department. - Prepare Suspicious Transactions Report ("STR") reports and report promptly to the Joint Financial Intelligence Unit (JFIU). - Assist and handle Client's complaints (i.e. SFC & IA) - Develop and provide compliance awareness E-learning (CPT) courses ((e.g. AML/CFT & KYC topics) to internal staff and licensed persons. - Monitoring CPT/CPD status for around 110 licensees (incl. SFC/IA/MPFA Licenses). - Develop and update policies and procedures in alignment with the latest regulatory requirements. - Draft and review business contracts and agreements. - Review group marketing materials. - Report directly to Group Chief Operation Officer. Show less



Convoy Global Holdings Limited

• Hong Kong
• Financial Services
• 300 - 400 Employee

• Compliance Executive

  • Sep 2019 - Apr 2021

  - Handle licensing applications throughout group subsidiaries, including application for SFC (LR and RO of Type 1, 4 and 9), IA (TRB/A and RO), MPFA (SI and RO intermediary license). - Liaise with and handle regulators enquires in regard to licensing matter. - Monitor staff dealing and maintain record in ensuring compliance with applicable regulations and internal policies. - Review on group marketing materials - Provide preliminary compliance advise to other business units. - Develop and provide compliance awareness E-learning courses to internal staff and licensed persons. - Develop and update policies and procedures in alignment with latest regulatory requirements. Show less