Responsibilities:

• Act as the Manager-in-Charge (MIC) of AML and Money Laundering Reporting Officer (MLRO), ensuring comprehensive and current AML measures are effectively implemented across the organization.
• Provide expert compliance advice to business units and associated parties, ensuring alignment with industry regulations and standards.
• Formulate, implement, and oversee comprehensive AML and trade surveillance policies and procedures to ensure compliance with regulatory requirements.
• Monitor and assess the effectiveness of the compliance and surveillance programs, recommending and implementing improvements, particularly in client onboarding, CDD/KYC/AML processes, and trade surveillance. Liaise and collaborate with various business units to drive remediation of compliance issues and enhance the overall compliance framework.
• Conduct investigations on compliance and red flags, liaising with relevant regulatory bodies (e.g., SFC, JFIU) and law enforcement agencies as needed.
• Address and respond to enquiries and requests from regulators, securities exchanges, and other stakeholders regarding post-trade and pre-trade controls.
• Assist in the construction of market abuse risk analysis and enhance trade surveillance controls to mitigate residual risks.
• Analyze, maintain, and improve rule settings of the trade surveillance program, ensuring the system's effectiveness against market abuse dynamics.
• Develop and implement policies, procedures, and SOP enhancements to strengthen governance frameworks and workflows in AML and trade surveillance.
• Work closely with senior staff and internal stakeholders to prioritize and implement initiatives to enhance AML and surveillance system capabilities.
• Collaborate with the IT team to perform user acceptance testing, validate system changes, and rectify identified drawbacks.
• Deliver in-house compliance training to ensure team members are up-to-date with the latest compliance practices and regulatory requirements.
• Handle ad hoc compliance-related projects and other assignments as directed by senior management.

Requirements:

• Undergraduate Degree in Law, Accountancy, Finance, or related disciplines.
• Minimum 8 years of experience in compliance, AML, trade surveillance, or related fields, with a focus on securities brokerage and well-known brokerage firms.
• Strong critical thinking, analytical, and communication skills, with a high degree of professional maturity.
• Sound knowledge and experience in AML, CTF, market abuse regulations, and trade surveillance systems (e.g., SMARTS).
• Solid understanding of a wide variety of financial instruments, including equities, fixed income, structured products, derivatives, and foreign exchange.
• Familiarity with programming languages (e.g., VBA, Python, C, Ruby, Java) is advantageous.
• Proficient understanding of HKEX rules, SFO, SFC codes, guidelines, and regulatory requirements.
• Certification such as Certified Anti-Money Laundering Specialist (CAMS) is desirable
• Self-motivated, independent, and capable of proactively managing cases and driving projects forward.
• Excellent verbal and written communication skills in Chinese and English, with proficiency in Mandarin as a plus.
• A team player with strong numerical aptitude and attention to detail.

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