- Key ResponsibilitiesRegulatory Leadership: Act as the primary point of contact for the Securities and Futures Commission (SFC), managing all licensing applications, on-site inspections, and ongoing regulatory correspondence.Framework Design: Develop, implement, and oversee a comprehensive compliance program covering SFC Type 1 (Dealing in Securities) and Type 7 (ATS) regulated activities.AML/CTF Oversight: Serve as the Head of Compliance/ Chief ComplianceKey ResponsibilitiesRegulatory Leadership: Act as the primary point of contact for the Securities and Futures Commission (SFC), managing all licensing applications, on-site inspections, and ongoing regulatory correspondence.Framework Design: Develop, implement, and oversee a comprehensive compliance program covering SFC Type 1 (Dealing in Securities) and Type 7 (ATS) regulated activities.AML/CTF Oversight: Serve as the Head of Compliance/ Chief Compliance
- Job DescriptionRegulatory Alignment: Guarantee that all firm-wide business operations strictly adhere to the governing rules and mandates of the SFC and other relevant licensing authorities.Strategic Advisory: Serve as the primary compliance advisor to senior management and internal business units, providing expert guidance on evolving regulatory issues.KYC & AML Governance: Direct the firm’s KYC and AML frameworks, ensuring robust control implementationJob DescriptionRegulatory Alignment: Guarantee that all firm-wide business operations strictly adhere to the governing rules and mandates of the SFC and other relevant licensing authorities.Strategic Advisory: Serve as the primary compliance advisor to senior management and internal business units, providing expert guidance on evolving regulatory issues.KYC & AML Governance: Direct the firm’s KYC and AML frameworks, ensuring robust control implementation
