Description

• RWA/ VA experiences would be a plus
• Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements
• Advise on compliance issues and potential impact of regulatory trends and developments
• Provide practical compliance advice for business such as retail and institutional brokerage, global markets business
• Perform license applications, notifications, enquiries, surveys and maintain relevant records
• Perform trade surveillance and regular reviews to identify potential compliance or internal control issues
• Establish compliance monitoring programs and undertake investigations into any suspicious transactions reported
• Perform AML/KYC and account opening reviews including customer due diligence and periodic reviews etc
• Conduct internal compliance trainings and maintain CPT records
• Provide compliance advice on new product development, systems and business initiatives relating to retail and institutional business
• Implement adequate compliance controls to ensure stakeholders and business unit comply with applicable rules and regulations
• Establish comprehensive compliance framework and update policies and procedures to ensure compliance with the regulatory requirements
• Must have strong SFC inspection experiences
• Minimum 5 years of legal and compliance experience in brokerage companies/regulators
• Proficiency in written and spoken English, Cantonese, and Putonghua is a must