Compliance Manager

Job Responsibilities: Oversee compliance and trading risk management for the Group's licensed entities. Engage with regulators to foster innovation within regulatory limits. Develop and maintain compliance policies to meet regulatory requirements, covering reviews, audits, licensing, reporting, inquiries, and AML/KYC support. Deliver compliance training to employees to foster compliance awareness and culture. Handle other major compliance projects, provide compliance advice on fund investments,

Fargo Wealth Group Limited - Hong Kong - Full time

Salary: Negotiable

Job Responsibilities:

  1. Oversee compliance and trading risk management for the Group's licensed entities.
  2. Engage with regulators to foster innovation within regulatory limits.
  3. Develop and maintain compliance policies to meet regulatory requirements, covering reviews, audits, licensing, reporting, inquiries, and AML/KYC support.
  4. Deliver compliance training to employees to foster compliance awareness and culture.
  5. Handle other major compliance projects, provide compliance advice on fund investments, and handle ad hoc tasks.

 

Job Requirements:

  1. Bachelor's degree or above in law, Finance, or related fields preferred.
  2. 5+years of compliance experience in SFC Type 1/4/9; knowledge of SFC regulations; risk control or legal experience is a plus.
  3. Strong teamwork, communication, analytical skills, and self-motivated responsibility.
  4. Excellent written and verbal communication skills in English and Chinese (fluency in Cantonese is a Plus).
  5. Embrace collaboration, innovate, tackle challenges, and be detail oriented.
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