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Compliance Manager
TypeFull Time
EducationBachelor's or above
LocationHong Kong
  • 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
  • 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