Business Compliance Officer (AML)

Responsibilities :

• Provide compliance advice to business units and associated parties, including comments on new business initiative
• Formulate and implement policies and procedures to ensure compliance with the regulations.
• Monitor and assess the effectiveness of the compliance program and make recommendations for improvements , such as client onboarding, CDD/KYC/AML related process etc.
• Liaise and collaborate with different business units to formulate, drive and implement remediation of compliance issues
• Deliver in-house compliance training
• Assist in other assignments or ad hoc duties whenever necessary.

Requirements :

• Undergraduate Degree in Law, Accountancy, Finance, or related disciplines
• Minimum 3 years of relevant experience securities brokerage industry;
• Strong critical thinking and communication skills as well as high degree of professional maturity
• Good understanding of SFC codes and regulatory requirements
• Sound knowledge in AML regulatory requirements is an advantage
• Good command of written & spoken Chinese and English, proficiency in Mandarin is a privilege

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