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Company
Our client is a Hong Kong Fintech company offering SocialFi and also applying for a Virtual Asset Trading Platform SFC type 1,7 license.
Responsibilities
Carry out your duties as a Manager-in-Charge as related to SFC for Compliance of the Company
Act as an adviser to the Senior Management on general compliance, regulatory, financial crime, AML, KYC and data protection matters.
Monitor regulatory changes and industry developments to ensure compliance with relevant laws, rules, and regulations
Implement, work with internal teams and external consultants to review policies, standard operating procedures, systems implementation, and internal controls for regulatory compliance programs to ensure licensing commitments and obligations are fulfilled.
Review and advise on areas of regulatory change and applicable best practice in the region and update relevant manuals and procedures as necessary.
Assist on the selection of compliance IT vendor for the purpose of AML and KYC compliance, KYT and trade surveillance etc.
Manage and enhance the compliance and financial crime framework.
Conducting periodic compliance monitoring and performing regular surveillance activities, reporting to the senior management on the appropriateness and effectiveness of the Company's systems and controls, and implementing any required enhancements.
Conduct periodic company-wide AML risk assessment and AML policy review, including ongoing assessments.
Maintain close liaison with the relevant regulatory bodies (SFC) and obtain any necessary licenses, consents, make ad hoc notifications, file periodic regulatory returns and providing information upon request.
Design and deliver staff training and internal briefings to ensure that the Company and its staff comply with applicable legislations, topics may include but not limited to regulatory changes/developments and their impact on their Company.
Build strong regulatory relationship with all respective regulatory bodies and championing the adoption of best industry standards.
Requirements
Bachelor's degree in finance, economics, business administration, or a related field.
At least 5 years of experience in a compliance role within cryptocurrency industry or financial services
Knowledge of relevant laws and regulations, including anti-money laundering (AML) and know-your-customer (KYC) requirements
Strong analytical and problem-solving skills
Excellent communication and interpersonal skills
Ability to work independently and prioritize tasks effectively
Familiarity with blockchain technology and cryptocurrency markets is a plus
Fluent in English and in Cantonese
Application Options
If you're interested in this role, click 'Apply' now. For further information and a confidential discussion, you can email Winston Tse at Originally posted on Himalayas
