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Head of Compliance - SFC 1,4,6,9

  • Location: Hong Kong
  • Salary: Negotiable per annum
  • Job Type:Permanent

Posted 30 days ago

  • Sector: Corporate Governance
  • Contact: Calvin Chan
  • Start Date: ASAP
  • Expiry Date: 18 June 2021
  • Job Ref: JN -052021-459733

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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