Assistant Director, Compliance Department

Hong Kong Job Openings

Valuable Capital Limited

FULL TIME

October 16, 2024

Posted by

Elfin Yuan

Recruiter

Responsibilities:

Develop, implement, and maintain the firm’s compliance program to ensure daily operations comply with Hong Kong SFC and/or other regulatory requirements in different markets.
Advise on compliance issues and potential impact of regulatory trends and developments.
Provide practical compliance advice for businesses such as retail and institutional brokerage, global markets business.
Collaborate with other departments to ensure a cohesive approach to compliance and risk management.
Oversee AML/KYC checking and other necessary investigation.
Establish and enhance compliance monitoring program on the Company's various activities and undertake investigations into any suspicious transactions reported by both internal and external customers.
Supervise the development of systems to track and monitor our regulatory risk, compliance with regulatory requirements and internal policies.
Stay updated on regulatory developments and industry best practices.
Provide guidance and training staff on compliance matters and regulatory changes.

Job Requirements:

Degree holder in Business, Finance, Law or other related disciplines.
Minimum of 10 years of experience in compliance within the financial services industry.
In-depth knowledge of SFC regulations and compliance requirements for Type 1, 2, 4, 5, and 9 licenses.
Professional compliance & legal qualification would be preferred.
Excellent project management, communication and presentation skills.
Responsible, well organized with good interpersonal skills and able to work under pressure.

ABOUT COMPANY

Valuable Capital Limited

Hong Kong

Fintech

Valuable Capital Group is a leading technology-driven financial solution provider. We offer efficient, tailored, comprehensive and quality services to...

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