Key Responsibilities:
1. Ensure that all business activities of the Company comply with the laws and regulations of the Hong Kong Special Administrative Region, including relevant financial regulatory provisions such as the SFC
2. Develop and improve the Company's internal compliance policies and procedures, ensure these policies are consistent with regulatory requirements, and promptly update them to address changes in laws and regulations.
3. Identify, assess, and monitor compliance risks in the Company's operations, develop appropriate risk management measures, and ensure the stable and compliant development of the Company's business.
4. Provide compliance training to employees to enhance their awareness of compliance and ensure that employees understand and comply with relevant laws and regulations and internal Company policies.
5. Establish a compliance monitoring mechanism, regularly review the Company's business compliance, submit compliance reports to management and regulators, and promptly report any violations.
6. Serving as the primary liaison between the Company and regulators, I am responsible for communicating with regulators such as the Securities and Futures Commission of Hong Kong, coordinating regulatory inspections, and handling related matters.
7. Lead the Company's anti-money laundering work, ensure the Company has an effective anti-money laundering system, and submit relevant reports as required.
8. Cooperate with the Internal Audit Department in compliance inspections, ensure the effective implementation of compliance policies, and address any issues identified in audits. 9. Ensure the company conducts thorough due diligence on clients, prevents illegal transactions and fraud, and protects the interests of the company and its clients.
Recruitment Requirements:
1. Bachelor's degree or above, majoring in law, finance, accounting, economics, or a related field.
2. 10-15 years or more of compliance, legal, or regulatory experience in the financial industry, with experience in compliance management at Hong Kong financial institutions (such as investment banks, securities firms, and asset management companies) a must. Experience working at a Chinese securities firm is a significant advantage, as candidates will need a deep understanding of the parent company's culture and mainland China's regulatory approach.
3. Demonstrate professionalism and integrity by serving as the company's primary liaison with regulatory agencies, including the Securities and Futures Commission of Hong Kong. Ability to clearly explain regulatory requirements to business departments and provide feedback to management and the Board of Directors on practical issues.
4. Proficiency in written and oral communication in Cantonese, English, and Mandarin.