AM / Manager, Central Compliance (Legal & Compliance Department)

职位描述
Handle enquiries from internal and
external stakeholders, including regulators, law enforcement agencies, and
counterparties, on investigation requests, trade-related enquiries, information
demands, business-related enquiries, inspections, and regulatory questionnaires;

Conduct compliance reviews and
monitoring exercises, identify potential gaps, and monitor the remediation
progress of corrective actions;

Support preparation and maintenance
of regulatory filings, internal reports, and Head Office reporting;

Assist to handle compliance
incidents and breaches and overseeing the implementation of remedial actions;

Draft, update, and maintain
compliance policy and procedure manuals in line with regulatory developments,
Head Office requirements, and industry best practices;

Manage and respond to KYC / due
diligence questionnaires (DDQ) from counterparties, business partners, and
regulators in a timely and accurate manner;

Manage FATCA/CRS reporting for tax
authorities, including data validation, submissions, and liaison with relevant
internal and external parties;

Support technology compliance by
managing technology related enquiries, questionnaires, projects, and system
implementations to ensure adherence to regulatory requirements and data
governance standards;

Advise business units and
back-office functions on compliance issues and provide ongoing support to
ensure adherence to regulatory standards;

Support licensing and training matters
on an as-needed basis; and

Undertake ad-hoc assignments and
projects as assigned by management.

职位要求
University degree in Law, Finance,
Accounting, or other relevant disciplines;

At least 3–6 years’ experience in
central, regulatory, or technology compliance within the financial industry;

Prior exposure to dealings with the
SFC and HKEX, particularly in areas of enforcement, intermediaries supervision,
and licensing, is highly preferred;

Sound knowledge of SFC regulations, SFO, HKEX rules, and the
Personal Data (Privacy) Ordinance (PDPO).

Sound working knowledge of FATCA and CRS regulatory
requirements;

Experience in handling regulatory enquiries, inspections,
compliance reviews, and policy drafting;

Responsible, detail-minded, and capable of handling
multiple tasks with strong analytical, communication, and organizational skills;

Proficiency in using Microsoft
Office;

Excellent command of written and
spoken English and Chinese, fluency in Putonghua is required; and

Occasional business travel may be
required.

职位福利
We offer an attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present and expected salaries, as well as date of availability, by clicking "Apply" or by sending it to [邮箱已隐去].

(Data collected will be kept strictly confidential and used for recruitment purpose only.)

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