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.