Company Overview:
A major financial institution in Hong Kong is seeking a skilled Compliance professional for SFC's Type 1, 4, and 9 licenses. The successful candidate will play a pivotal role in overseeing compliance matters and ensuring adherence to regulatory requirements.
Key Responsibilities:
- Manage overall compliance matters with a focus on SFC's Type 1, 4, and 9 licenses.
- Draft and review documents related to SFC's licensing requirements.
- Review marketing materials to ensure compliance with regulatory standards.
- Ensure marketing activities across different jurisdictions comply with local laws.
- Draft and review investment management agreements for managed accounts.
- Review research reports and investment recommendations for compliance.
- Organize and conduct compliance training sessions for staff.
- Monitor personal trading activities of employees to prevent conflicts of interest.
- Handle investor onboarding processes including PI confirmation, AML/KYC, and suitability assessments.
- Collaborate with IT to automate and streamline compliance procedures.
Job Requirements:
- Fluency in Mandarin is a must
- 5-8 years of relevant experience in compliance roles within the financial industry.
- Prior experience working with SFC's Type 1, 4, and 9 licenses is preferred.
- A degree in Law is advantageous but not mandatory.
- Proactive individual with the ability to work independently.
