VP of Compliance VP of Compliance …

Yuanyin International Limited
in Hong Kong
Permanent, Full time
Last application, 22 Sep 21
Competitive
Yuanyin International Limited
in Hong Kong
Permanent, Full time
Last application, 22 Sep 21
Competitive
Yuanyin International Limited and its subsidiaries provide a wide range of financial services including asset management, investment banking and securities brokerage to our domestic and international clients with the total and committed support from a team of experienced financial professionals. To cope with our business expansion, we are now looking for high calibre to join our Company.

Job Duties

  • Keep abreast of the regulatory developments, interpret and provide advice on policies, regulatory requirements and impact, and control related processes, in particular on Type 1, 4 and 9 SFC licensed activity.
  • Review and revise compliance manuals, policies, procedures and systems to keep abreast of new and regulatory changes
  • Prepare and submit regulatory filings to the local regulator;
  • Define account opening procedure and review customer’s documents to ensure compliance with KYC and AML requirements, both from the perspectives of local regulatory and internal group requirements for new account opening and periodic reviews.
  • Take the Compliance, AML, and other related roles in MIC chart
  • Assist to carry out Compliance Risk Assessment.
  • Draft project-based NDA and review and revise NDA from external parties

 

Job Requirements

  • University degree holder, preferably in finance, business or law;
  • Minimum 5 years of working experience in compliance/legal function from professional practice and/or the financial services institutions; Experience with RA 1,2,4,5,6,9 LC or RI is a strong plus.
  • Strong “to-do” sense on providing business advisory in conduction of compliance and legal work.
  • Solid understanding of the SFC Rules and Regulations and AML Guideline.
  • Be able to strike the right balance on compliance and business development.
  • Knowledge of Hong Kong legal system, common law and contract law.
  • Proven ability to work as an effective partner with the business while retaining objectivity, independence of thought and decision-making.
  • Demonstrated problem solving and analytical ability, and strong communication skills
  • Full proficiency in English, Cantonese and Mandarin (Spoken, Reading, Writing)
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