Compliance Officer
HARBRIDGE PARTNERS
Hong Kong, Hong Kong
3小时前
source : EFinancialCareers Ltd

Senior Compliance Officer (SVP)

Responsibilities :

  • Compliance check on staff and funds trading, confirm no irregularity is happened.
  • Advise Management on any Compliance issues or Compliance inquiries and identify potential impacts
  • Coordinates with the SFC for all Compliance issues (i.e. licensing, reporting, company inspection, etc)
  • Alert the Managing Director and the General Manager to take disciplinary action if any staff member breaking the rule or regulations.
  • Advise on compliance aspects relating to securities, corporate finance, licensing and related matters
  • Oversee and monitor CDD, AML and KYC functions
  • Identify and evaluate compliance risks of the operations and business activities
  • Ensure all investment guidelines are properly implemented / recorded
  • Monitor the development of regulatory changes to ensure the company policies and procedures are in line with updated regulatory requirements.
  • Work closely with operations team and frontline to ensure proper reporting to regulator
  • Manage relationship with the relevant Exchanges and Regulators, handling queries and request
  • For further information, please contact Edward Chen at 2523 9955

    ec AT harbridgepartners DOT com

    consultants AT harbridgepartners DOT com

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