Head of Compliance, Fintech & Online Brokerage Firm

My client is rapidly expanding their team in HK, and is now looking for a high-calibre candidate for their head of compliance role.

TalentQuest HR Limited - Hong Kong - Full time

Salary: HK$80k - HK$100k

  • Responsible for the MIC for Compliance & AML, and also the MLRO position.
  • Compliance Advisory: Provide practical compliance advice for various business units.
  • AML/CFT Support: Offer guidance on Anti-Money Laundering (AML) and Counter-Financing of Terrorism (CFT) related enquiries to internal business stakeholders.
  • Regulatory Monitoring: Oversee the operations of SFC-licensed entities within the group, ensuring adherence to compliance standards through regular policy updates and procedure reviews.
  • Regulatory Engagement: Handle regulatory enquiries, inspections, and investigations, acting as the point of contact for all compliance-related matters.
  • Internal Investigations: Conduct internal investigations and draft comprehensive conclusion reports to address compliance issues
  • Trade Surveillance & Reporting: Monitor trading activities and manage JFIU reporting to ensure compliance with relevant regulations.
  • Training & Development: Develop and deliver internal compliance training programs tailored to current regulations, enhancing awareness and understanding within the organization.
  • Ad-Hoc Projects: Manage and execute ad-hoc compliance projects as required to meet business needs.
Apply
22021096

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