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Compliance Officer

1 month ago

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

We are seeking a highly skilled Compliance Officer/Manager to join our team at Gough Recruitment. The successful candidate will be responsible for ensuring that our clients' businesses comply with all relevant laws and regulations.

  • Monitor daily trading activities and transactions to ensure compliance with firm policies and Hong Kong regulatory requirements.
  • Review and update the firm's compliance policies and procedures to maintain compliance with SFC requirements and other relevant regulations.
  • Conduct compliance risk assessments and recommend mitigation strategies specific to the Hong Kong asset management industry.
  • Perform AML/KYC review and due diligence checks on clients/service providers/online platform.
  • Conduct compliance monitoring programs, compile and submit periodic regulatory reports and filings, and provide recommendations.
  • Stay up-to-date on changes in rules and regulations and industry best practices, and update compliance programs accordingly.
  • Review marketing materials to ensure compliance with regulatory requirements and investment schemes.
Qualifications:

The ideal candidate will possess a Bachelor's Degree in Law, Accounting, Finance, or a related discipline, and a minimum of 3 years of relevant experience in the Big Four, Asset Management, or Financial Industry.

  • Thorough understanding of Hong Kong's financial regulations, including the Securities and Futures Ordinance (SFO) and other relevant laws and guidelines.
  • Excellent command of Mandarin/Cantonese and English.
  • Excellent communication and interpersonal skills, with the ability to work collaboratively with various stakeholders.

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