Compliance Professional for Sustainable Growth

1 day ago


Hong Kong, Central and Western District, Hong Kong SAR China iCapital Full time
Job Overview

iCapital is seeking an experienced Compliance Officer to support the development of a compliance strategy and guidelines for our APAC operations.

Compensation

The estimated salary for this role is $120,000 - $180,000 per annum, depending on experience.

Key Responsibilities
  • Compliance Strategy Development: Work closely with senior management to develop and implement effective compliance strategies and guidelines that support sustainable growth in APAC.
  • Risk Mitigation: Collaborate with regulators, external partners, and stakeholders to identify and mitigate risks to the firm and its clients.
  • Policies and Procedures: Develop and implement policies, procedures, and internal controls to ensure compliance with regulatory obligations in APAC.
  • Knowledge Sharing: Serve as a trusted advisor to senior management, providing guidance and training on compliance topics as needed.
Requirements
  • Experience: 5+ years of experience in compliance, business controls, operations, and regulatory affairs with a financial entity regulated by SFC.
  • Regulatory Knowledge: Sufficient knowledge of regulations pertaining to SFC's Type 1, 4, and 9 licenses.
  • General Compliance: General compliance knowledge in AML/KYC, code of conduct, gifts and entertainment, personal account dealing, compliance monitoring, and regulatory reporting in Hong Kong.
  • Adaptability: Adaptable and entrepreneurial, able to work within a fast-paced, growing, and constantly evolving structure.
  • Cross-Border Expertise: In-depth knowledge of cross-border rules and regulations in the APAC region is a plus but not essential.
  • Linguistic Skills: Proficiency in English for collaboration with head office and external international stakeholders and suppliers. Chinese language capability is a plus.
Benefits

iCapital offers a comprehensive benefits package, including a competitive salary, annual performance bonus, equity for all full-time employees, healthcare with 100% employer-paid health and dental insurance, and generous paid time off (PTO).



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