Responsibilities:

• Responsible for routine regulatory and AML compliance monitoring;
• Reviews alerts for money laundering issues and collaborate with frontline as appropriate;
• Supports central compliance functions, such as conflict checks, staff dealing monitoring and trade monitoring;
• Assists with SFC and IA license applications and post-approval notifications;
• Assists with various projects to implement changes in-house in light of regulatory development;
• Advises business on compliance and regulatory issues;
• Supervises and train junior team members;
• Handles FATCA and CRS matters;
• Coordinates compliance communication and CPT trainings;
• Other ad hoc duties as the supervisor sees fit.

Requirements:

• A solution-driven team player with positive attitude and open to feedback;
• Strong personal drive and take responsibility;
• Familiar with SFC rules and regulations, knowledge in AML, sanctions, FATCA and CRS will be a plus;
• At least 2-4 years’ experience in compliance at brokerage, asset management or advisory businesses;
• Candidates with less relevant experience may be offered the role of Analyst