Chief Compliance Officer
3 days ago
We are seeking a highly skilled and experienced Chief Compliance Officer to join our Asset Management team at Omni Group Asia Ltd.
Job SummaryThe successful candidate will be responsible for ensuring that our business operations comply with all applicable laws, rules, and regulations. This includes overseeing daily operations related to regulated activities, managing risk associated with Type 4 and Type 9 activities, and coordinating with auditors for annual auditing.
Responsibilities- Operation Oversight: Oversee and manage daily operations related to regulated activities, including financial and regulatory reporting obligations and coordination with auditors.
- Risk Management: Identify, assess, and mitigate risks associated with Type 4 and Type 9 activities, and develop and implement risk management policies and procedures.
- Client Advisory Services: Oversee the provision of advisory services related to securities and investment strategies, and ensure compliance with regulatory standards.
- Policy Development: Establish and maintain internal policies and procedures to ensure operational effectiveness and regulatory compliance.
- Bachelor/Master's degree in economics, finance, accounting or equivalent.
- Eligible to apply for Type 4 (Advising on Securities) & 9 (Asset Management) Responsible Officer designation with the Hong Kong SFC.
- Minimum 5 years of experience in the financial sector, preferably with prior exposure to the EAM or private banking sector.
- Excellent command in both written and spoken Chinese (Cantonese/Mandarin) and English.
$120,000 - $180,000 per annum, depending on experience.
This salary estimate is based on industry standards for similar roles in Hong Kong.
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