- Formulate and optimize compliance rules and procedures of various business units of the company, and oversee the implementation process
- Dealing with any inquiries from and leading on behalf of the business during inspections or audits undertaken by the SFC and other regulatory authorities.
- Establish compliance control and coordinate with business operation units to ensure adequate compliance oversight
- Provide AML guidance and undertake compliance test and other review on AML regulations and requirements
- Prepare regulatory and internal/external compliance reports and performs required follow up work
- Provide advisory and support to business operation units on compliance matters
- Providing regular compliance reports to management and relevant stakeholders the actions taken to manage the compliance risks, serious or persistent compliance issues, results of monitoring activity, results of internal or external audits and other compliance inspections, regulatory developments and breaches and any other relevant matters.
- Degree holder with major in law, economics, finance or related disciplines
- 5 years' relevant experience in SFC regulated activities
- Familiar with Type 4 and 9 license related business under SFC regulation
- Good communication and interpersonal skills
- Good command of both spoken and written English and Chinese, including fluency of Mandarin
- Preference for candidate with private equity experience
- Preference for candidate with SFC Responsible Office (RO) qualification