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Posted on 2023-05-17
Compliance Director (SFC 1, MIC)
Job MatcherJob Highlights
- Oversee the general compliance
- 6-8 yrs compliance exp in brokerage companies
- Perform and review regular compliance checkin
Responsibilities
- Oversee the general compliance
- Ensure daily operations comply with Hong Kong SFC and/or other regulatory requirements in different markets
- Carry out regular compliance check at front, middle and back offices
- Perform and review regular compliance checkin
- Review and investigate Trade and Communication surveillance alerts
- Review, revising and drafting internal manuals, policies and procedures to ensure in compliance with rules and regulation of the SFC and HKEx
- Conducting AML/KYC checking and other necessary investigations
- Formulate, review and update policies and procedures
- Preparing compliance training to staff
- Handle regulatory enquiries, inspections, and investigations
Requirements
- Degree holder in Business, Finance or other related disciplines
- 6-8 years compliance experience in brokerage companies
- Excellent command of English and Chinese
- Good knowledge in AML / KYC and back / middle office operation is preferential
- Sound knowledge of the SFO and other relevant codes and regulations
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Skills
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Company Overview
Links International is an award-winning industry leader in innovative human resources outsourcing in Asia. Links was established in 1999 and has offices in Hong Kong, Singapore, Shanghai, Macau and Zhuhai, Vietnam, Malaysia, Thailand and Australia.
We offer a broad range of services, ranging from both retained and contingent recruitment, to payroll and visa processing, designed to cover all aspects of your human resources processes, enabling your team to focus on higher value, strategic activities.
We offer a broad range of services, ranging from both retained and contingent recruitment, to payroll and visa processing, designed to cover all aspects of your human resources processes, enabling your team to focus on higher value, strategic activities.
