AML Compliance, Manager-in-charge (MIC) - Fintech Listed Co.

Location: Hong Kong
Job Type: Permanent
Industry: Legal
Reference: 33851_1636337635
Job Published: November 08, 2021

  • Liaise with regulators on licensing and compliance matters, regulatory enquiries and filings in relation to SFC regulated activities
  • Draft, propose, and review policies and procedures to ensure compliant with regulatory requirements
  • Provide compliance advice and training (e.g. CPT) to staff
  • Review company documents and procedures to ensure adherence to company's policy and applicable regulatory requirements
  • Provide AML support, support and maintain internal control procedures
  • Assist in client on-boarding and account opening processing
  • Handling of monthly internal compliance reporting and suspicious transaction reporting etc.
  • Handle ad-hoc projects from time to time as assigned
  • Solid 4 to 8 years of relevant compliance / AML experience for Type 1, 4 and 9 licensed corporation, candidate with sufficient experience can be considered for Senior Manager
  • University graduate in legal, accounting or business-related subject
  • Professional qualification in legal, compliance, accounting and/or investment is an advantage
  • Sound knowledge in SFC codes, guidelines, circulars and SFO etc.
  • Experienced in interacting with regulatory bodies (e.g. SFC, HKMA)
  • Excellent communication skills in English, Cantonese and Mandarin
  • Willing to work in a dynamic environment, and provide hands-on support
  • Detail-oriented, analytical, resourceful and possess good problem-solving skills

Please note that only shortlisted candidates will be notified. All information gathered will be treated in strict confidence and solely used for recruitment purposes.