We are a financial services company with capital markets services (CMS) licence.
If you are someone who has a keen interest in building a career around risk & compliance, this role is for you.
Responsibilities:
- To assist in overseeing the corporate compliance programme.
- Assist in maintaining the compliance framework and processes including AML functions.
- Advise the business on regulatory obligations and the impact of regulatory changes.
- Policies and Procedure drafting and implementation
- Monitor account activities and report suspicious transactions to the management.
- Ensure accounts are on-boarded as per regulations and internal guidelines.
Requirements:
- Strong degree-level academic qualification or ICTA Compliance/AML qualification
- Minimum 2 years of relevant Regulatory compliance experience in the brokerage industry specialized in Finance - Corporate Finance/Investment/Merchant Banking or equivalent
- Preferably experience in KYC (Client Onboarding Team), AML Compliance, Corporate Compliance
- Demonstrable understanding of regulations and financial market
- Fluent in English and Chinese (both oral and written communication)
- Evidence of drive, curiosity, good judgment and good attention to detail
- Excellent team spirit
- Rigorous, well-organized with a structured and logical approach
