Compliance (Senior role)
Besteam Personnel Consultancy Limited
Kowloon
5天前

At least 7 years operation experience in FX related business or SFC Licensed companies

At least 7 years compliance experience in UK OTC FX market or Hong Kong market or at least 7 years compliance experience in Type 3, 4, 9 regulated activities in Hong Kong

Familiar with UK FCA and HK SFC regulations and compliance related operation

Experience in setting up offshore FX licenses (UK region)

Good command of English and Cantonese, Mandarin is an advantage

Responsible, self-motivated, flexible, independent

Ability to work late-night hours

Job Duties & Responsibilities :

shall undertake all reviews and risk-assessment of all company documentation and correspondence of group subsidiaries, directors, and beneficial owners.

Preparing a compliance and client-take on manual and educating staff members as to the due diligence required by the Regulatory Authorities (SFC).

Accurate and timely filling of all due diligence documents and related correspondence for clients and its affiliated companies

Manage all compliance functions and ensure the adherence of internal control in order to meet relevant legal and regulatory requirements.

Handle regulatory inquiries

All other tasks that may be requested by the CEO or Managing Direct

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