Regulatory Compliance Specialist

5 days ago


Hong Kong, Central and Western District, Hong Kong SAR China SinoPac Securities (Asia) Limited Full time
Job Description

SinoPac Securities (Asia) Limited seeks a highly skilled Regulatory Compliance Specialist to join our team. The successful candidate will be responsible for ensuring the company's compliance with relevant laws, regulations, and internal policies.

Key Responsibilities:
  • Provide compliance advice and solutions to management and departments.
  • Develop, draft, and review various business contracts, agreements, announcements, notices, correspondence, account opening documents, marketing materials, board resolutions, shareholder resolutions, and other documentations.
  • Formulate and review general compliance manuals, anti-money laundering (AML) policies, and other internal procedures.
  • Stay up-to-date on regulatory developments and advise management and departments accordingly.
  • Monitor the company's operations and employee dealings, and perform compliance and AML checks to ensure adherence to rules and regulations, as well as internal policies and procedures.


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