Compliance (Sr) Manager, digital asset management Compliance (Sr) Manager, digital asset management …

IDEG Limited
in Hong Kong
Permanent, Full time
Last application, 30 Nov 21
Competitive
IDEG Limited
in Hong Kong
Permanent, Full time
Last application, 30 Nov 21
Competitive
Posted by:
Sylvie Dong • Recruiter
Posted by:
Sylvie Dong
Recruiter
Digital Asset Management with SFC type 1,4,9 license

 

Job Duties

  • Report to COO & Chief Compliance & General Legal Counsel, work with a small team to handle compliance area of business activities type 1, 4, 9 and trust (TCSP), and responsible for internal and external compliance, regulatory and AML matters;
  • Develop, maintain and implement regulatory policies and procedures, and identify gaps in existing ones to ensure compliance with applicable law and regulations;
  • Work closely with regulators for compliance, legal and licensing issues including but not limited to preparation of compliance reports, answering audit's enquiries, completing SFC's surveys, etc.;
  • Provide advisory to management and relevant business units on relevant laws and regulations;
  • Review and oversee client AML/ KYC / due diligence reports in the account opening process;
  • Handle ad-hoc projects from time to time as assigned.

Qualifications

  • Bachelor's Degree in Law, Finance, Accounting, Corporate Governance or relevant studies;
  • at least 5 years or above compliance and AML experience in leading Financial Institutions, experience in legal is a plus;
  • Well versed in trustee ordinance and solid experience in SFC rules and regulations (SFC type 1, 4, 9) is highly preferable;
  • International mindset, a good team player, a self-motivated, strong sense of ethics, responsibility and discipline with good interpersonal skills;
  • Good command of written and spoken English, Mandarin;
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