Assistant Compliance Manager / Compliance Manager (General Compliance)

Responsibilities :

• Assist to supervise licensing related works and offer advice on licensing issues
• Provide compliance advice to the different business units in relation to securities brokerage and wealth management business
• Review and advise on legal and compliance contracts and documentation
• Handle and implement compliance requests with internal stakeholders to enhance the internal controls and procedures as well as the system of the Company
• Manage internal and external audit, enquiries, regulatory filings, inspections and investigations from the auditors, Exchanges and Regulators
• Conduct compliance training
• Perform ad hoc compliance projects as assigned

Requirements :

• Degree holder in Law, Business, Finance or related disciplines
• Minimum 5 years of compliance experience in financial institutions, and fintech company experience is an advantage
• Professional qualification on AML or compliance is an advantage
• Sound knowledge in rules and regulations of Securities and Futures Commission and relevant regulatory requirements
• Self-motivated, able to work independently, detailed oriented with good inter-personal skill and strong problem solving skills
• Proficiency in written and spoken English and Chinese (including Putonghua)