Compliance Manager/Director

Job Description

• Handle all general compliance matters related to Type 1, 4 & 9 regulated activities under the SFO.
• Draft, prepare or coordinate compliance reports for internal or external purposes.
• Conducting AML/KYC checking and other necessary investigations.
• Handle inquiries, inspections and investigations from SFC.
• Coordinate or conduct regular compliance training
• Provide support to the Groups business, management and operations units on compliance-related matters

Job Requirement

• Bachelor degree or above.
• 6+ years working experience in SFC LC and familiar with SFC 1,4 & 9 regulatory activities.
• Sound knowledge of the SFO and other relevant codes and regulations.
• Good command of English, Cantonese and Mandarin.
• Strong problem-solving and analytical skills.