1. Managing relevant matters of SFC & HKEx:-Managing SFC licence application, notification and annual returns of Types 1, 2, 4, 5, 6, 9.-Handling SFC's inquiry and HKEx’s inquiry.2. Monitoring SFC/ Regulatory 's Compliance usages:-CPT: Monitoring, registering and record keeping of CPT. -Staff Dealing: Monitoring and registering of staff dealing. -Compliance Checking: Having sample checking for the the execution /trade and procedures of different department.-Complaint Handling: Assisting in handling complaint /Anti Fraud issues. -Recording Keeping: Ensuring the proper recording keeping. 3. Performing Internal Control Monitoring:-Assisting in preparing and drafting several of Compliance reports and compliance alert memos.-Updating and drafting different compliance’s policies, internal forms and register.4. Assisting in performing AML5. Others:-Providing compliance advice on some Account Opening or operational issues.-Assisting to submit FATCA and AEOI.-Assisting in preparing information for auditors.

1. Managing relevant matters of SFC, MPFA,CGSE Insurance Authority, Money Service Operator, Money Lender licence:-Managing SFC licence application, notification and annual fee/ returns of Types 1, 2, 3, 4, 6, 9 regarding licensed Corporation, Sponsor Principal, responsible officer and licensed representative. 2. Performing Regular Compliance review programme to ensure and monitor the dealing activities, business and operation are in compliance with regulatory requirement and operational procedure. eg. Tape listening, Transaction Monitoring, Compliance review of documents regarding Equities, Futures, Forex, Stock Options, Bonds, etc. - Assisting in handling customer complaints/Anti-Fraud. -CPT: Monitoring and registering 600 licensed staff’s CPT. Assisting in coordinatecoordinating compliance/ AML training.3.Performing internal control monitoring:Identifying and evaluating compliance risks of the operations for SFC RA, MPFA and insurance business. Providing alternative, compliance solution and compliance advice . -Assisting in preparing and drafting several of reports and compliance alert memos regarding the compliance finding/ investigation/ regulation & laws updates. -Updating and drafting different compliance’s internal control policies/ forms/ checklist/ register to improve the efficiency of compliance monitoring and control.-Assist the Trade Surveillance project. -Assisting in giving Advice regarding Gift and Entertaining policies.4.Giving compliance advice on Licensing, Account Opening issues, Chinese wall or operational issues of SFC regulated Activities/Insurance business if necessary.Assisting Companies to submit various /quarterly annual reports/surveys to Regulators.

1. Managing relevant matters of SFC & HKEx:-Managing SFC licence application, notification and annual returns of Types 1, 2, 4, 6, 9.-Handling SFC's inquiry and HKEx’s inquiry.2. Monitoring SFC/ Regulatory 's Compliance usages:-CPT: Monitoring, registering and record keeping of CPT. -Staff Dealing: Monitoring and registering of staff dealing. -Compliance Checking: Having sample checking for the phone recording of the execution.-Complaint Handling: Assisting in handling complaint issues. -Recording Keeping: Ensuring the proper recording keeping. 3. Performing Internal Control Monitoring:-Assisting in preparing and drafting several of Compliance reports and compliance alert memos.-Updating and drafting different compliance’s internal forms and register.4. Assisting in performing AML5. Others:-Providing compliance advice on some Account Opening or operational issues.-Assisting to submit FATCA and AEOI.-Assisting in preparing information for auditors.

Policy Maintenance & Advisory-Maintaining and reviewing companies’ policies, including but not limited to operational policies drafting.-Supporting business activities and product development by ensuring compliance with all applicable laws, regulations and internal policies.-Advising business and operational management on regulatory and compliance aspects.Liaison with Parties-Liaising with the relevant regulators and external parties on legal and regulatory issues, eg. SFC, HKMA, HKEx, CIB, and etc.-Liaising with clients in relation to licensing and compliance matters.Licensing-Providing assistance for licence maintenance with all relevant regulators and preparation of reporting to SFC and HKEx.-Handling SFC licence applications of Types 1,4,6,9 Regulated Activities for new corporations and individuals.-Ensuring compliance with the on-going licence and notifications requirements.Handling HKEx’s participantship application.AML, KYC & CDD-Assisting in performing Anti-Money Laundering (“AML”), Know Your Client (“KYC”) process, including performing client name screening against sanction lists as appropriate.-Advising members of the firm to ensure proper identification of the client.-Reviewing KYC and Enhanced Due Diligence procedures on high risk customers during the on-boarding process.Training-Assisting in providing compliance training across the business to embed policies and maintaining strong compliance culture.-Assisting in CPT monitoring.-Others-Assisting in checking the internal audit report and FRR report.-Ensuring the proper record keeping and audit trail of each company.

• Drafting proposals, policies and guidelines in relation to coaching an pitching new business for wholesalers.
• Monitoring financial activities, including but not limited to implementing budget control, reviewing pricing strategy upon consolidated consumer data and forecasting marginal profitability and cash flow. • Creating and maintaining a database of clients information periodically upon which clients are classified in light of their consumption patterns and basic information such as occupation, age, monthly income and etc. 
• Conducting research initiatives for new business development and marketing purpose and in depth analysis of competitors, Pineapple Jewelry SWOT and SEPT for the market positioning purpose. • Creating brand awareness, developing marketing mix and ensuring segmentation, targeting and positioning in tune with market requirements in order to expand our reach to target consumer furthest possible.