Job Summary:

We are seeking a dedicated and detail-oriented General Compliance Officer to join our compliance team. The ideal candidate will have a strong background in regulatory compliance. This role requires a proactive individual who can ensure our operations adhere to all relevant laws and regulations.

Key Responsibilities:

• Ensure all licensing requirements are met and maintained in accordance with regulatory standards.
• Handle and respond to regulatory enquires & inspections related to Sections 181-183, ensuring timely and accurate information is provided.
• Provide advisory support to the business units on regulatory and compliance requirements (e.g. marketing materials, new services/products etc)
• Prepare and submit regulatory reports, filings, and disclosures accurately and within specified deadlines
• Handle day-to-day compliance matters e.g. staff dealing, CPT, trade surveillance, transaction monitoring
• Assist in the development and implementation and keep abreast of updated of compliance policies and procedures
• Conduct regular risk assessments to identify and mitigate potential compliance risks.

Qualifications:

• Bachelor's degree in Law, Business Administration, Finance, or a related field.
• 3-5 years of experience in a sizeable SFC-regulated financial institution.
• Strong understanding of regulatory compliance and licensing requirements.
• Strong communication and interpersonal skills to interact with various stakeholders and build effective working relationships
• Ability to handle sensitive information with discretion.
• Independent, strong analytical and problem-solving skills.
• Proficiency in compliance software and tools.

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