Job Summary: 

We are seeking a Compliance Officer to ensure the company’s adherence to relevant laws, regulations, industry standards, and internal policies. This role will primarily focus on Anti-Money Laundering (AML), compliance reviews, and operational risk management, ensuring the company’s compliance in securities and financial operations while mitigating legal and operational risks. 

Responsibilities: 

• Assist and support the Compliance team in handling Anti-Money Laundering and Counter Financing of Terrorism (AML) tasks such as name screening, customer due diligence (KYC) and transaction monitoring;
• Keep abreast of updated compliance policies and procedures, and information on regulatory requirements;
• Assist the Responsible Officer (RO) and department head in drafting and revising operational procedures, manuals, and other relevant forms and documents;
• Provide advisory and support to the business operation units on compliance matters
• Act as the company’s liaison with regulators, ensuring timely responses to requirements and supporting inspections or investigations;
• Review business processes for regulatory and internal policy compliance, monitor legal changes, update policies, and assist in preparing regulatory reports;
• Identify and manage compliance risks, implement mitigation measures, and conduct risk assessments and audits to ensure effective compliance;
• Take part in ad hoc assignments or projects.

Requirements: 

• Degree holder or above;
• 1 year to 3 years (experienced candidates with higher priority);
• Fresh University graduates are also welcome;
• Fresh graduates will also be considered as Assistant Compliance Officer
• Self-motivated, attention to details;
• Willing to learn and proactive character;
• Able to work under pressure and work independently;
• Good interpersonal communication skills and able to deal with people of wide spectrum of seniority;
• Proficiency in both Chinese and English; 
• Proficiency in MS Office and IT software;
• Knowledge of securities and investment products and their operation is an advantage but not compulsory.

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