Head of Compliance (SFC Type 3 license, Perm, Global)

Head of Compliance - Global

Job Purpose

• We are seeking potential talents who are attentive to details, accurate, responsible, independent, initiative, customer-oriented, and interested in joining our Compliance Team.
• Reporting to COO, the Head of Compliance position is responsible for the Compliance framework, develop and implement the Compliance programs, policies and practices for the companies.

Accountabilities

• Overseeing compliance functions, ensure sufficient resources and training are in place to successfully discharge the objectives of the functions
• Monitoring and identifying regulatory developments, including enforcement actions, new laws, regulations, rules and interpretations or guidance relating to the business of the firm
• Identifying potential compliance risk and actively advise management to implement proper compliance program to address any potential regulatory problems
• Leading and executing a risk-based AML compliance program to ensure ongoing compliance with statutory and regulatory requirements
• Implementation and oversight of all aspects of AML systems, including monitoring effectiveness and enhancing the controls and procedures where necessary
• Serving as the primary point of contact for compliance communications
• Ensure business implement adequate procedures and controls to enable the business to comply with rules and circulars issued by SFC.

Experience & Skills

• 5 to10 years in a senior compliance role for a financial broker/bank
• Proven experience liaising with SFC and other regulators, especially with SFC Type 3 license
• Knowledge in applying Market integrity rules and Regulatory Guides
• Creating/maintaining policies and procedures
• Understanding of SFC rules and circulars
• Experience with Derivatives transaction reporting
• In-depth knowledge of the macro legal and business environment revolving around digital assets and digital currency is an advantage
• Strong analytical skills and ability to exercise sound judgment and manage execution under pressure
• Energetic, attentive to detail and capable of multi-tasking in a fast-paced environment
• Excellent interpersonal skills and the ability to work effectively and independently in a team-oriented setting, prioritize projects to meet tight deadlines. Highly motivated self-starter with an ability to work independently
• Project management skills, commercial acumen and a strong analytical mindset are essential
• Qualified candidate must be able to balance being fully compliant with having a commercial mindset