Assist in managing HK regulatory licensing related matters staff application and collection of supporting documents, form completion, processing annual return, requisite filings, notifications to staff and maintaining relevant licensing / personnel records and communications
Assist in coordinating new hire and ongoing trainings and maintain employee Continuous professional training records
Assist in managing a number of core compliance functions including new staff dealing account approval; assigning compliance orientation training; record keeping of staff dealing confirmations and deal review and etc.
Assist in conducting investigation into any violations of the rules, regulations and firm's policy and procedures
Assist in carrying out the monitoring and surveillance of the stock trading activities
Assist in special assignment, project coordination and implementation of new policies as assigned
Assist ...
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