Compliance Associate Manager
## Job Responsibilities
Work with internal stakeholders (e.g. Legal, Compliance, Product, Technology etc.) and external stakeholders (e.g. External Counsel, auditor) to assure quality and accurate responses/submissions to regulators with regard to the licensing application and ongoing operational reporting;
Assist with the periodic review of policies and trainings;
Conduct compliance monitoring activities and investigations;
Manage licensing, regulatory filings, inspections, and audits, ensuring timely and accurate submissions;
Work with different stakeholders to ensure ongoing compliance with the SFC’s regulatory requirements;
Identify, highlight and manage regulatory risks, findings and recommendations that are identified internally through independent reviews or examinations;
Manage key compliance projects and make sure they are executed on a timely basis and in compliance with local regulatory requirements.
Identify and circulate relevant regulatory publications and communications to applicable staff and stakeholders;
Perform general administrative duties and any other duties and responsibilities as required
Minimum of three years experience in a legal or compliance role in financial institutions, experience in virtual assets (cryptocurrency) is preferred;
Strong knowledge of the Securities and Futures Ordinance (Cap. 571)(SFO), and the Anti-Money Laundering and Counter-Terrorist Financing Ordinance (Cap. 615)(AMLO);
Knowledge of the SFC’s regulatory regime on Virtual Asset Trading Platform Operators;
Experience in interacting with regulators is a plus;
Hands-on experience in compliance screening, surveillance and case management systems, e.g. Scila, LexisNexis, Chainalysis, is preferred;
Good team player with positive attitude and self-motivation
Must be able to perform independently and with minimal supervision;
Highly organized and detail oriented;Excellent communication skills - verbal and written;
Proficient in English and Cantonese;
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Work with internal stakeholders (e.g. Legal, Compliance, Product, Technology etc.) and external stakeholders (e.g. External Counsel, auditor) to assure quality and accurate responses/submissions to regulators with regard to the licensing application and ongoing operational reporting;
Assist with the periodic review of policies and trainings;
Conduct compliance monitoring activities and investigations;
Manage licensing, regulatory filings, inspections, and audits, ensuring timely and accurate submissions;
Work with different stakeholders to ensure ongoing compliance with the SFC’s regulatory requirements;
Identify, highlight and manage regulatory risks, findings and recommendations that are identified internally through independent reviews or examinations;
Manage key compliance projects and make sure they are executed on a timely basis and in compliance with local regulatory requirements.
Identify and circulate relevant regulatory publications and communications to applicable staff and stakeholders;
Perform general administrative duties and any other duties and responsibilities as required
Minimum of three years experience in a legal or compliance role in financial institutions, experience in virtual assets (cryptocurrency) is preferred;
Strong knowledge of the Securities and Futures Ordinance (Cap. 571)(SFO), and the Anti-Money Laundering and Counter-Terrorist Financing Ordinance (Cap. 615)(AMLO);
Knowledge of the SFC’s regulatory regime on Virtual Asset Trading Platform Operators;
Experience in interacting with regulators is a plus;
Hands-on experience in compliance screening, surveillance and case management systems, e.g. Scila, LexisNexis, Chainalysis, is preferred;
Good team player with positive attitude and self-motivation
Must be able to perform independently and with minimal supervision;
Highly organized and detail oriented;Excellent communication skills - verbal and written;
Proficient in English and Cantonese;
Apply tot his job
Apply To this Job