Compliance Officer

Job Summary

A rapidly expanding and high-performing asset manager group is seeking a Compliance Officer to join our team, adding a new position due to ongoing business growth. We are looking for a Compliance Officer to ensure that our companies adhere to all relevant laws, regulations, industry standards, and internal policies. This role will primarily focus on Anti-Money Laundering (AML), compliance reviews, and operational risk management. You will play a critical role in maintaining compliance across our securities and financial operations while effectively mitigating legal and operational risks.

Responsibilities

• Directly report to the Board Of Directors for daily operation

• Support the Compliance function in managing AML/CFT tasks, including name screening, customer due diligence (KYC), transaction monitoring, CRS reporting and regulatory update.

• Monitor, review, update and assist with the implementation of regulatory and legislative changes, including but not limited to SFC, MAS and Company Registry

• Assist the board of Directors and department head in updating and revising operational procedures, manuals, and other essential documents.

• Provide advisory support to business units on compliance-related matters.

• Serve as the companys liaison with local and foreign regulators, ensuring prompt responses to inquiries and facilitating inspections or investigations.

• Review business processes for compliance with regulatory and internal policies, monitor legal changes, update policies, and assist in preparing regulatory reports.

• Identify and manage compliance risks, implement mitigation strategies, and conduct risk assessments and audits to ensure effective compliance.

• Participate in ad-hoc assignments and projects as needed.

Requirements

• Bachelors Degree holder in law, accounting, finance or business related disciplines, with a keen interest in legal and compliance;

• 2 years+ of relevant experience in relevant job functions preferred;

• Self-motivated with a keen attention to detail.

• Eager to learn with a proactive approach.

• Strong interpersonal communication skills, capable of engaging with individuals across various levels of seniority.

• Proficiency in written and spoken English and Chinese and Fluency in Mandarin is preferred.

• CPA/FRM or any legal/compliance related qualification is a plus.

Information :

• Company : China Reserve Securities Limited
• Position : Compliance Officer
• Location : Tsim Sha Tsui, Kowloon Peninsula
• Country : HK