Job Responsibility
- Review and update compliance policies and procedures
- Drive and manage compliance-related projects
- Act as a subject matter expert on relevant regulations and policies
- Advise management and employees on compliance matters and keep informed about regulatory developments
- Provide advice and influences to business functions on implementation of solutions aligned to regulatory risk appetite based on an understanding of business operations and stakeholder needs
- Liaise with regulatory authorities on compliance-related inquiries
- Review and assist on regulatory filings and related administrative communications
- Represent and interact with examiners/auditors during internal, external and regulatory examinations
- Ascertain training needs and conduct training necessary for staff and management
- Make recommendations to senior management on strategy and new initiatives, based on an in-depth understanding of the business
- Identify enhancements to the firm's compliance measures and processes and communicate to required stakeholders
- Broader work or accountabilities may be assigned by management as needed
Job Requirement
- University Degree with Accounting, Legal or Finance related disciplines
- 3-6 years of working experience in Compliance, Legal, and other related areas
- A passionate learner who would like to learn and grow within the firm
- Fluent in English and Chinese
- Good understanding in SFC, Understanding of SEC will be a plus
- Proactive, disciplined, and self-motivated individuals