- Update the Compliance policies & procedures and ensure regulatory compliance regarding licensing, AML, trade surveillance, and other compliance related activities.
- Act as point of contact to SFC and provide support and advices on SFC licensing related matters, reporting, regulator’s on-site inspection, etc.
- Act as Money Laundering Reporting Officer (MLRO) and advise Business regarding AML/KYC, transaction monitoring, investigation, etc.
- Conduct annual review on compliance manuals, policies and procedures and the implementation of all relevant policies.
- Prepare regulatory reports on compliance as well as other internal & external reports
- Conduct internal monitoring & investigation on compliance.
- Handle compliance requirements by head office, internal & external auditors
- Review documents, such as pitch books & disclaimers, etc.
- Conduct regular trade surveillance with focus on trading desk.
- Degree in Risk, Law, Audit or relevant discipline, with formal training in Laws and auditing preferably.
- 8 years’ experience in Securities Firm or Financial Institution with SFC licence.
- Good knowledge in SFC regulatory requirements, with experience in SFC and Japanese firms preferably.
- In-dept knowledge of investment products, including FX products, Fixed Income products, OTC Derivatives products and other global market products.
- Proficient in written and spoken English, Chinese and Japanese (Japanese is a must)
- Good communication skills and interpersonal skills
- Benefits and competitive package
- Potential Bonus towards end of the year in accordance to performance
- Promotion from within the company
For further information, please contact our Edward at 2523 9955.