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