Compliance Officer

About the role

Responsible for secondary market business compliance function to ensure the Company's operation adheres to relevant legal and regulatory requirements, and monitor business associated AML/FCC and sanction compliance related activities.

Key responsibilities

• Assist to design, implement and maintain effective compliance program (including but not limited to policies and procedures) to ensure compliance with the applicable regulatory requirements.
• Assist in compliance monitoring, testing and internal reviews with regard to secondary market business lines such as wealth management, sales and trading, research and asset management.
• Advise business on compliance issues in transactions and provide ongoing guidance to the business on client onboarding, KYC, continuous CDD and other client related requirements.
• Oversee day to day business operation to monitor and manage AML/FCC, sanction, suitability, anti-fraud and market manipulation related risks.
• Propose and implement surveillance programs on respective business lines and operational functions to effectively identify, evaluate and report suspicious trading activities.
• Work closely with business to develop new product and new trading platform, to enhance daily operational workflow to ensure regulatory compliance at firm level.
• Establish and conduct periodical review on compliance policies and procedures for the purpose of risk mitigation and regulatory compliance.
• Communicate with relevant regulators (e.g., SFC, HKEX) and internal teams on compliance issues or findings and provide solutions to properly address the issue, and handle inquiries from the regulators.
• Design compliance training programs including preparation and circulation of update regulatory requirements to improve compliance awareness among staff.
• Handle Head Office enquiries and various reporting tasks in timely manner.

About you

• College degree holder in Law, Accounting, Finance or related discipline(s), CAMS holder preferred.
• Minimum 4 years compliance experience in financial/securities sector and/or regulatory bodies, with client onboarding and continuous review experience.
• Familiar with securities laws and regulations, AMLO, SFC code and guidance and best market practice.
• Good knowledge of securities and futures business, features of financial market products and services and operation flow.
• Demonstrate organized and details-oriented capabilities, problem solving and analytical skills.
• Self-motivated, independent and a team player with good communication skills at all level.
• Good command of written and spoken English and Chinese (including Putonghua).