Compliance Senior Officer/ Officer

KEY RESPONSIBILITIES

• Assist in on-going compliance monitoring of CDD/KYC and compliance requirements to ensure compliance with rules and regulation of the SFC, HKEX, the TCSP and trustee licensing requirements of CR, and other regulators as deemed appropriate;
• Assist to develop and enhance compliance related policies and procedures, inclusive of but not limited to AML, personal data privacy, anti-corruption and sanction laws;
• Research and draft general compliance policy and procedures
• Handle AML/KYC and sanction checking with automated tools and conduct other necessary investigations;
• Prepare training materials and conduct training in respect of AML and other compliance areas;
• Keep track of regulatory changes, conduct research on changes for further updates of internal compliance policies and procedures and for technical publication;
• Liaise with external vendors or service providers;
• Handling any ad hoc duties as assigned.

REQUIREMENTS

• Bachelor degree holder or above with major in law, accounting, corporate governance or other related disciplines;
• Minimum 2-3 years of related working experience;
• Self-motivated and detail oriented;
• Excellent command of spoken and written English and Chinese (inclusive of Putonghua and Cantonese);
• Knowledge in Viewpoint is a plus;
• Proven skills in Microsoft office software inclusive of Word, Excel and PowerPoint;
• Immediate availability is preferred.

Candidates with more experience may be considered for senior post.