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Senior Compliance Specialist

1 week ago

Hong Kong, Central and Western District, Hong Kong SAR China Gough Recruitment Full time

Main Responsibilities:

  • Ensure daily trading activities and transactions comply with firm policies and relevant regulations.
  • Develop and update compliance policies and procedures to maintain adherence to regulatory requirements.
  • Conduct risk assessments and recommend mitigation strategies specific to the asset management industry.
  • Perform AML/KYC reviews and due diligence checks on clients, service providers, and online platforms.
  • Implement compliance monitoring programs, compile periodic regulatory reports, and provide recommendations.
  • Stay up-to-date on regulatory changes and best practices, updating compliance programs accordingly.
  • Review marketing materials for compliance with regulatory requirements and investment schemes.

Key Qualifications:

  • Bachelor's degree in Law, Accounting, Finance, or a related field.
  • Minimum 3 years of experience in Big Four, Asset Management, or the Financial Industry.
  • Thorough understanding of Hong Kong's financial regulations, including the Securities and Futures Ordinance (SFO) and other relevant laws.
  • Excellent command of Mandarin/Cantonese and English.
  • Strong communication and interpersonal skills for collaborative work with stakeholders.

About Gough Recruitment:

We are committed to maintaining a high level of professionalism in our recruitment processes. Data collected will be used strictly in accordance with the Personal Data (Privacy) Ordinance. Only shortlisted candidates will be notified.