Senior Compliance Officer (SVP)
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