Compliance Manager
Qualifications
- University graduated in Law, Economic, Finance and Risk Management
- Minimum 5 years solid compliance experience gained in a financial institution, highly prefer in brokerage and securities industry
- Experience in handling Type 1, 4, or 9 regulated activities is a MUST
- Experience in CRS and FATCA
- Strong knowledge in multi-asset and multi-asset trading operation and compliance
- Experience in private wealth and institutional brokerage
- Familiar with SFO, SFC codes and Guidelines and the HKEx Rules and Regulations
- Strong analytical, problem solving, presentation and communication skills to interact with all levels of stakeholders
- Excellent command in spoken and written English and Chinese
- Experience in a start-up environment is a plus
Responsibilities
- Review the adequacy of the internal control and corporate governance of business procedure and operation
- Identify high compliance risk areas and recommend for improvement
- Draft new policies for all staff for compliance and corporate governance purposes
- Provide advice on compliance matters and conduct regular compliance checking at front, middle & back offices functions
- Monitor business units and support units in preparing the manuals, setting an appropriate timeframe and monitoring to ensure completion within stipulated timeframe
- Manage and ensure policies and procedures are in compliance with Securities and Futures Ordinance and Codes and Guidelines;
- Ensure SFC regulated activities compliance and high standard of market practice
- Perform CDD, KYC and AML assessments/measures upon new account opening and ongoing transaction monitoring in compliance with regulatory requirements
