Job Description
- Develop and implement an effective compliance framework and ongoing compliance monitoring programs.
- Identify any potential compliance risks and develop precautionary measures by developing and maintaining an effective internal compliance alert system
- Supervise the relevant business lines to ensure compliance with the applicable ordinance, rules and regulations at all times
- Coordinate and liaise with regulatory authorities for regulatory enquiries, reporting, inspection and investigation
- Provide compliance oversight and support to business development proposals directed by senior management or strategic business units
- Promote compliance awareness and culture within the firm and provide internal compliance training as appropriate
Requirements
- Minimum 10 years’ experience in the financial industry
- Have excellent knowledge of regulations related to different investment products and businesses and well versed with Securities and Futures Act, Financial Advisers Act and the relevant regulations.
- Good knowledge of international operations and compliance standard of brokerage business in overseas operations is a plus.
- Independent, self-motivated and able to meet tight deadline.
- Professional presentation and report writing skill.
- Good communication and interpersonal skills.
