Director, Compliance (SFC Licenced Corp)
Director, Compliance (SFC Licenced Corp)
Posted on :
23-08-2025
Employer Active
1 Vacancy
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Job Description
Responsibilities:
- Monitor all compliance issues of the company including Asset Management Brokerage Corporate Finance and Direct Investment
- Conduct investigation on suspicious transaction cases
- Build and strengthen the in-house compliance & risk management framework
- Provide AML/KYC advisory and operational support
- Roll out compliance policies & operating guidelines
- Perform periodic review on staffs personal dealing pre-clearance requests and reconciliation
- Ensure all business units are in full compliance with the relevant laws rules and regulations
- Develop and provide compliance training
- File and monitor Disclosure of Interest notification in compliance with HKEx rules
Requirements
- University degree in Banking/Finance or any related disciplines
- Minimum of 8 years relevant experience in financial industry or SFC type 1469 companies in compliance/legal
- Good knowledge of Hong Kong SFC licensing rules take over codes guidelines and reporting requirements.
- Good knowledge on investment fund set up and structure
- Ability to work under pressure with strong communication and analytical skills
- Fluency in English and Mandarin is essential
- Strong report writing skills in both Chinese and English
Your interest will be treated in strict confidence. Only shortlisted candidates will be notified.
Required Experience:
Director
Employment Type
Full-Time
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