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Assistant Director, Compliance Department

1 week ago

Hong Kong, Hong Kong SAR China Valuable Capital Limited Full time

Responsibilities:

  • Develop, implement, and maintain the firm’s compliance program to ensure daily operations comply with Hong Kong SFC and/or other regulatory requirements in different markets.
  • Advise on compliance issues and potential impact of regulatory trends and developments.
  • Provide practical compliance advice for businesses such as retail and institutional brokerage, global markets business.
  • Collaborate with other departments to ensure a cohesive approach to compliance and risk management.
  • Oversee AML/KYC checking and other necessary investigation.
  • Establish and enhance compliance monitoring program on the Company's various activities and undertake investigations into any suspicious transactions reported by both internal and external customers.
  • Supervise the development of systems to track and monitor our regulatory risk, compliance with regulatory requirements and internal policies.
  • Stay updated on regulatory developments and industry best practices.
  • Provide guidance and training staff on compliance matters and regulatory changes.

Job Requirements:

  • Degree holder in Business, Finance, Law or other related disciplines.
  • Minimum of 10 years of experience in compliance within the financial services industry.
  • In-depth knowledge of SFC regulations and compliance requirements for Type 1, 2, 4, 5, and 9 licenses.
  • Professional compliance & legal qualification would be preferred.
  • Excellent project management, communication and presentation skills.
  • Responsible, well organized with good interpersonal skills and able to work under pressure.