Madison Pearl is partnering with an interesting strategic partner who are in search for a Compliance Officer, one of the leading providers in financial services. This role will report directly to the compliance head.
- Ensure entity wide compliance with relevant legal and regulatory requirements particularly AML, licensing and trading rules.
- Implement and manage processes in partnership with the business to ensure compliance with SFC & HKEx Licensing requirements. This includes application of SFC licenses, submission of annual returns, management of organisational competency requirements and effective control room functions.
- Assist to build a robust compliance framework across the business enabling strategic insight to manage regulatory risks.
- In a dynamic and increasingly complex regulatory environment, support the business with effective compliance advice.
- Manage the day to day running of Compliance including AML reviews, respond to audits, liaise with regulators.
- Identify emerging regulatory trends.
- Ensure that policies remain current with legal and regulatory requirements.
- Represent the business with competence and professionalism in responding to regulatory and compliance inquiries, including the reporting of regulatory breaches.
- Manage the organisational training needs including the delivery of internal/external training; dissemination of regulatory developments to the front office; and ensuring that licensed individuals fulfill their yearly CPT requirements.
- Submission of SFC Quarterly and Annual filings – business registration, audited financial statement, SFC and HKEX licenses annual return for company and individuals.
- Minimum 3 years of relevant Compliance experience. Experience in electronic broking in the institutional investor client sector (ie. no retail) would be an advantage.
- Detailed knowledge of the general tools and techniques of compliance in relation to broking and good technical abilities.
- Attention to detail is essential.
- An understanding of the SFO and SFC Codes and Guidelines.
- Superior communication and interpersonal skills must demonstrate the ability to build positive, stable relationships across all levels of the business.
- Meticulous in the delivery of the Compliance function, with a focus on providing excellence to internal and external stakeholders.
- Ability to adapt and prioritise in a fast paced, and changing commercial environment
- Competence in building and contributing to an effective team.
- Fluency in written and spoken English, Cantonese an added advantage but not necessary.
- High level competency with Microsoft Office suite programs.
- Qualifications in Law or a business-related discipline will be advantageous
Interested candidates please apply to this advertisement directly or send your CV to firstname.lastname@example.org
*ONLY SHORTLISTED CANDIDATES WILL BE CONTACTED*