1. Oversee policies and controls designed to ensure compliance on regulatory requirements listed by Hong Kong Securities and Futures Commission (SFC).
2. Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
3. Conduct KYC/AML of high-net-worth individuals (HNWI) with international standard
4. Identify compliance issues that require follow-up or investigation.
5. Maintain documentation of compliance activities, such as complaints received or investigation outcomes
6. Liaise with Group Compliance, legal and risk management to ensure group oversight on the Company
7. Identify, assess and advise the Company’s management on possible compliance risks on the Company’s business activities
8. Provide employee training on compliance related topics, policies, or procedures
9. Review and revise legal documents or templates for business and daily operation
• Solid work experience in compliance function with both European and Chinese financial institutions in Hong Kong, preferably in KYC area
• Good understanding of Mainland China and Hong Kong HNWI client profiles
• Experience in WFOE PFM business in Mainland China
• Excellent command of written and spoken English and Chinese
• Experience in SFC regulatory compliance and completing/ reviewing regulatory returns
• Good knowledge of the key regulations applicable to the business
• Able to prioritise multiple projects and deadlines
• Attention to details