about the company.
Our client is a fast-growing online trading platform, with SFC Type 1 4 9 licenses.
about the job.
- Ensure company activities, policies and procedures comply with latest regulations. Involved in full spectrum of compliance such as business compliance, regulatory compliance, AML etc
- Act as a contact point for regulators. Liaise with regulators and external parties (i.e. auditors/lawyers), assist SFC on-site inspection and investigation, etc.
- Develop and roll out new regulatory policies and procedures
- Conduct gap analysis and suggest modification on existing compliance framework and practice
- Perform daily transaction monitoring, KYC and onboarding review, AML review, provide daily AML advisory to business units
- Identify compliance risks and provide recommendations to senior management
- Review daily compliance duties performed by subordinates
- Modify compliance framework to mitigate risks
skills & experiences required.
- Bachelor's Degree holder preferably in Law or other business-related disciplines
- Minimum of 3 years' compliance experience in online brokerage or other SFC-regulated corporation. Candidates with less experience would be considered for Officer/Senior Officer grading
- Strong knowledge in SFC Type 1, 4, 9. Candidates with experience in SFC Type 1 license regulations is a must
- Good command of written and spoken English and Chinese
To apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: firstname.lastname@example.org