Job Description:

• To have a keen understanding of regulations impacting the key activities of the Company, and to establish and formulate standards, policies and procedures to ensure compliance with all applicable legal and regulatory requirements.
• Review manuals and Compliance Notices to ensure they are properly revised or updated when necessary.
• To advise the CEO of the Company of viable and commercial solutions based on the appropriate regulations.
• To monitor new and emerging regulations, codes and guidelines impacting the key activities of the Company, including leading any lobbying activities to influence the outcome of any consultations and putting in plans to deliver any changes required in the Company to meet the new regulations.
• To develop and maintain strong working relationships business divisions
• To ensure the Company is in compliance with all its Anti-Money Laundering obligations across all the jurisdictions that impacts the Company and the group.
• To review and approve changes relevant to the Company's business (e.g. product literature, system developments, procedure change requests, third party agreements and fund deductions) from a Hong Kong compliance perspective.
• To ensure the maintenance a record of all material compliance obligations and regulatory submissions, including accuracy of the records and submissions relevant to the company's business.
• To assist in the risk management of the Company where necessary
• Provide advice on regulatory interpretation and compliance issues.
• Other related duties and ad hoc assignments when requires.
• Liaising with regulators where necessary
• Reporting to the Chief Legal and Compliance Officer
• Managing, training and supporting existing compliance team
• Working with other internal compliance departments globally
• Directing internal investigations and acting as MLRO
• Provide AML training to all staff and supervise relevant staff on due diligence procedures;
• Reviewing payment instructions and incoming credit advices to identify potential suspicious transactions in line with AML procedures
• Develop and promote compliance processes and guidelines as per relevant regional regulations and group policy
• Conduct sanctions screening where necessary

Requirements:

• Bachelor's degree in Business, accounting or Law preferred
• At least 10 plus years of working experience, and more than 5 years of experience in the financial services industry. Experience in the Securities and Futures Commission is preferred.
• Substantial compliance experience in securities and futures brokerage, margin financing, capital markets/corporate finance, asset management, gained either from in-house or within SFC Intermediary Supervision
• Strong interest in Blockchain, Virtual Assets, finance and compliance
• Sound knowledge and experience in all licensing activities, Hong Kong regulatory and compliance requirements.
• Experience in engaging with Insurance Authority and SFC.
• In depth Understanding of anti-money laundering and Compliance regulations within the banking/financial services industry/TCSP industry
• Strong influencing and advisory ability, and capable of serving as a counsellor and advisor to the senior management team.
• Sound judgment in identifying risks in order to proactively escalate to relevant senior managers
• Demonstrates ability to work effectively in a team-based environment.
• Strong leadership and able to drive excellent team's performance.
• Self-motivated, well organized, and strong attention to detail

Click "Apply Now" to apply for this position or call Sophia Liang at +852 3180 4960 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.