Assistant Director, Compliance Department

Responsibilities:

• Develop, implement, and maintain the firms compliance program to ensure daily operations comply with Hong Kong SFC and/or other regulatory requirements in different markets.
• Advise on compliance issues and potential impact of regulatory trends and developments.
• Provide practical compliance advice for businesses such as retail and institutional brokerage, global markets business.
• Collaborate with other departments to ensure a cohesive approach to compliance and risk management.
• Oversee AML/KYC checking and other necessary investigation.
• Establish and enhance compliance monitoring program on the Company's various activities and undertake investigations into any suspicious transactions reported by both internal and external customers.
• Supervise the development of systems to track and monitor our regulatory risk, compliance with regulatory requirements and internal policies.
• Stay updated on regulatory developments and industry best practices.
• Provide guidance and training staff on compliance matters and regulatory changes.

Job Requirements:

• Degree holder in Business, Finance, Law or other related disciplines.
• Minimum of 10 years of experience in compliance within the financial services industry.
• In-depth knowledge of SFC regulations and compliance requirements for Type 1, 2, 4, 5, and 9 licenses.
• Professional compliance & legal qualification would be preferred.
• Excellent project management, communication and presentation skills.
• Responsible, well organized with good interpersonal skills and able to work under pressure.