My client, an SFC Type 1,4,6,9 licensed corporation, is looking for a Head of Compliance with all-rounded compliance experience. They have excellent fintech exposure and a wide range of products and services offerings online and offline.
Responsibilities
- Analyze the potential impact of business initiatives and regulatory requirements and advise viable solutions.
- Review the compliance framework, internal policies and procedures to ensure compliance with regulatory requirements.
- Advise on the development of online platforms, including mobile applications, from a regulatory perspective.
- Lead the team to conduct AML surveillance and compliance monitoring programme.
- Oversee licensing-related matters and regulatory filings and handles inquiries and inspections by regulators. Provide compliance training to other departments.
Requirements
- Degree holder with 10+ years of compliance experience at financial institutions including brokerage and wealth management.
- Solid knowledge of SFC rules and regulations, AML and sanctions.
- A solution-driven leader with a positive attitude and strong stakeholder management and communication skills.
- Good command of English and Mandarin and ability to write in both English and Chinese.
For more information, please feel free to contact Calvin Chan at +852 3695 5186 or send your CV to cchan<at>argyllscott.com.hk
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