My client - large fintech brokerage firm is looking for senior regulatory compliance advisory role (VP/SVP grading)
- RWA/ VA experiences and type 9 retail licensing would be a plus
- Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements
- Advise on compliance issues and potential impact of regulatory trends and developments
- Provide practical compliance advice for business such as retail and institutional brokerage, global markets business
- Perform license applications, notifications, enquiries, surveys and maintain relevant records
- Perform trade surveillance and regular reviews to identify potential compliance or internal control issues
- Establish compliance monitoring programs and undertake investigations into any suspicious transactions reported
- Perform AML/KYC and account opening reviews including customer due diligence and periodic reviews etc
- Conduct internal compliance trainings and maintain CPT records
- Provide compliance advice on new product development, systems and business initiatives relating to retail and institutional business
- Implement adequate compliance controls to ensure stakeholders and business unit comply with applicable rules and regulations
- Establish comprehensive compliance framework and update policies and procedures to ensure compliance with the regulatory requirements
- Must have strong SFC inspection experiences
- Minimum 8 years of legal and compliance experience in brokerage companies/regulators
- Proficiency in written and spoken English, Cantonese, and Putonghua is a must