Compliance Manager

Regulatory compliance experience in relation to the SFC Type 1/9 and/or Type 4/9 licensed activities:

Responsibilities :

• Assist to supervise licensing related works and offer advice on licensing issues
• Review the current compliance controls of the company, implement the internal policies and procedures as well as the company system to ensure relevant compliance standards are complied with the regulatory requirements.
• Ensure business implement adequate procedures and controls to enable the business to comply with SFO and, rules and circulars issued by SFC or other relevant regularities requirement .
• Provide compliance advice to the different business units
• Review and advise on legal and compliance contracts and documentation,
• Manage internal and external audit, enquiries, regulatory filings, inspections and investigations from the auditors, Exchanges, FIs and Regulators
• Conduct internal compliance review
• Conduct AML & compliance training
• Perform ad hoc compliance projects as assigned

Requirements :

• Degree holder in Law, Finance, Audit, or related field
• Minimum 5 years of compliance experience in financial institutions or audit firms with SFO and SFC rules and circulars.
• Fintech/virtual asset company experience is an advantage
• Solid understanding of risk and compliance principles and frameworks of SFC and relevant regulatory requirements.
• Practical experience on AML is an advantage
• Self-motivated, able to work independently, detailed oriented with good inter-personal skill, good team player and strong problem-solving skills
• Good command of MS Office including Word, Excel, and PowerPoint
• Proficiency in written and spoken English and Chinese (including Putonghua)