Head of Compliance, Fintech/Securities Brokerage

A leading Chinese fintech securities brokerage firm is looking to hire a senior compliance candidate to lead the team. The ideal candidate should be equipped with In-depth knowledge of SFC regulatory. Experience of uplifting licenses for digital assets, Web3 technologies, and RWA business is essential. Professional proficiency in Chinese Mandarin is required. Key Responsibilities Regulatory Oversight: Develop, implement, and maintain compliance programs that align with applicable laws and regula

Unicorn Advisor (HK) Limited - Hong Kong - Full time

Salary: Competitive

A leading Chinese fintech securities brokerage firm is looking to hire a senior compliance candidate to lead the team. The ideal candidate should be equipped with In-depth knowledge of SFC regulatory. Experience of uplifting licenses for digital assets, Web3 technologies, and RWA business is essential. Professional proficiency in Chinese Mandarin is required.

Key Responsibilities

  • Regulatory Oversight: Develop, implement, and maintain compliance programs that align with applicable laws and regulations for securities brokerage, particularly in relation to Web3 and RWA.
  • Licensing Management: Lead the process of licensing uplift for Web3 and RWA operations, ensuring that all necessary licenses are obtained and maintained.
  • Risk Assessment: Conduct regular risk assessments to identify compliance risks associated with digital asset transactions and new product offerings.
  • Policy Development: Create and update compliance policies and procedures, ensuring they reflect current regulatory requirements and industry best practices.
  • Training and Education: Develop and deliver compliance training programs for staff, emphasizing the importance of compliance in the context of Web3 and RWA.
  • Monitoring and Reporting: Establish a compliance monitoring framework to ensure ongoing adherence to regulations, and prepare regular reports for senior management and regulatory authorities.
  • Collaboration: Work closely with other departments, including legal, operations, and IT, to ensure a cohesive approach to compliance across the organization.
  • Regulatory Liaison: Act as the primary contact for regulatory bodies, managing audits and examinations, and responding to inquiries regarding compliance issues.
23226971
Ad