Compliance Senior Manager

Were looking for a Compliance Officer Manager (Assets) - Hong Kong to strengthen our compliance team.

Based in Hong Kong you will work with a growing team of multidisciplinary specialists across Product Treasury and Security to help build world class capital market products (Assets) in Hong Kong.

You will manage and strengthen the teams relationships with regulators by being the Regulators first point of contact for regulatory matters (i.e. Securities and Futures Commission (SFC)) keeping everybody informed and protecting our most valuable asset our customers.

Further the ideal candidate will serve as the Responsible Officer (RO) and Manager-In-Charge (MIC) for Compliance and AML/CFT for Wise Assets Hong Kong to ensure policies and practices adhere to local AML laws and compliance standards

The Role is located in Hong Kong.

Your mission:

• Improve the compliance product in line with our mission to be instant convenient transparent and eventually free.
• Work with the Business Team to obtain (and maintain) the relevant Type 1 (Dealing in Securities) license under the Securities and Futures Ordinance (SFO) based on the SFC Licensing Handbook including but not limited to: (i) regulatory liaison (ii) regulatory reporting and filing and be a champion of our compliance framework in audits. 
• Build trust with our regulator (SFC) as the Responsible Officer (RO) and Manager-In-Charge (MIC) responsible for Compliance and AML/CFT functions: manage and coordinate meaningful reporting internally and externally respond to information requests and proactively communicate product changes and notifiable events.
• Maintain and manage effective compliance frameworks policies and governance documentation including carrying out the compliance function pertaining to the Securities and Futures Ordinance (SFO) SFC Codes and Guidelines and any other applicable law governing the regulated activities under the SFC.
• Develop systems to track and monitor our regulatory risk compliance with regulatory requirements and internal policies.
• Work with teams to report management information to the Board so they are aware of the key risks.
• Educate teams about Hong Kong capital market regulatory requirements and empower teams to build risk-based processes which are clearly documented.
• Scrutinise and test compliance programs and work with Operational teams to develop our risk based approach provide constructive feedback and be responsible for resolutions.
• Adapt your focus on different compliance issues depending on growth plans and compliance needs.
• Work with global Product and Operational teams in Singapore Europe and Tallinn and travel to our operational offices.

This role will give you the opportunity to:

• Develop an in-depth knowledge of Wises business and get to know many teams across the company as you liaise with them to help them understand regulatory frameworks and bring together the information that our regulators need.
• Help keep compliance right at the heart of our product development by helping our regulator understand our mission and through horizon-scanning for new regulatory developments to share with teams.

Qualifications :

A bit about you:

If you have a background in investments dealing in Collective Investment Schemes funds and capital markets services great communication and organisational skills tons of motivation then this role could be perfect for you!

• Theory. You are an expert in compliance related to Dealing in Securities (Type 1) and may be currently working have worked or work directly with the Securities and Futures Commission (SFC). You meet the minimum entry criteria required by the SFC to act as a Responsible Officer (RO) and Manager-In-Charge (MIC) as follows:
  1. You possess at least 3 years of relevant industry experience in the 6 years immediately preceding this application;
  2. You hold a relevant degree (Finance Law Economics) or a recognized industry qualification (e.g. CFA); 
  3. You have passed the relevant HKSI Licensing Examinations papers (minimum: LE Paper 1 Paper 7/8/12)
• Practice. You have demonstrable experience designing and challenging processes ideally across multiple products. You have thought deeply about the Wise mission and how it intersects with compliance.
• Passion. You get a kick out of improving current practices and processes and can apply different compliance strategies to develop multiple compliance frameworks.
• Get the job done. You have a sense of urgency and an ability to work well under pressure prioritising taking responsibility and working to tight deadlines.
• Detail. You have meticulous attention to detail.
• Development. Youve considered the challenges and development opportunities of working at a fast growing scale-up and are looking to get into FinTech or develop your knowledge of payments and asset compliance. Heres a taster of what its like working at Wise. 
• Location. Hong Kong

Additional Information :

For everyone everywhere. Were people building money without borders  without judgement or prejudice too. We believe teams are strongest when they are diverse equitable and inclusive.

Were proud to have a truly international team and we celebrate our differences.
Inclusive teams help us live our values and make sure every Wiser feels respected empowered to contribute towards our mission and able to progress in their careers.

If you want to find out more about what its like to work at Wise visit .

Keep up to date with life at Wise by following us on LinkedIn and Instagram.

Remote Work :

No

Employment Type :

Full-time