Compliance Expert for Regulatory Excellence

7 hours ago


Hong Kong, Central and Western District, Hong Kong SAR China Fargo Wealth Group Limited Full time
Job Description:

Fargo Wealth Group Limited seeks a Compliance Manager to oversee compliance and trading risk management for the Group's licensed entities.

Key Responsibilities:
  1. Engage with regulators to foster innovation within regulatory limits, ensuring the Group remains compliant with all relevant laws and regulations.
  2. Develop and maintain comprehensive compliance policies, covering reviews, audits, licensing, reporting, inquiries, and AML/KYC support.
  3. Deliver compliance training to employees to foster a culture of compliance awareness, promoting a strong understanding of regulatory requirements.
  4. Provide expert guidance on fund investments and handle other major compliance projects as needed.
Requirements:
  1. Bachelor's degree or above in law, Finance, or related fields is preferred, demonstrating a strong foundation in compliance principles.
  2. At least 5 years of experience in compliance roles, specifically in SFC Type 1/4/9, with a deep understanding of SFC regulations and risk control procedures.
  3. Excellent teamwork, communication, analytical skills, and self-motivated responsibility are essential for success in this role.
  4. Strong written and verbal communication skills in English and Chinese are required, with fluency in Cantonese being a plus.
  5. The ideal candidate will be proactive, innovative, detail-oriented, and collaborative, driving compliance excellence throughout the organization.


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