Hong Kong Job Openings
Valuable Capital Limited
Assistant Director, Compliance Department
FULL TIME
October 16, 2024
- 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.
- 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.
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