about the company.
Our client is a HK-listed brokerage firm, well known for its Foreign Exchange platform
about the team.
You will be leading a team of 3 in Compliance Team and act as MLRO
about the job.
Lead the Compliance function in APAC and advise business and management on relevant issues and initiatives
Monitor internal control framework to identify/mitigate risk. Maintain and update the compliance framework
Act as the major contact point with SFC, regarding all compliance matters including annual returns, SFC enquiries, licensing, assisting on-site inspection, etc
Perform KYC/AML review, AEOI/FATCA review, risk assessment, gap analysis, trade surveillance, AML investigation etc
Attends board meetings and acts as a representative for Compliance department
Interested parties please apply by clicking "Apply Now". Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: email@example.com...