- Excellent package and benefits
- Hybrid mode and full flexibility
About Our Client
Our client is a leading fintech startup that is revolutionizing the investment landscape, a prominenet player in the industry. As a fintech pioneer, they continuously push the boundaries of innovation, staying ahead of the curve by incorporating the latest advancements in artificial intelligence and machine learning into our investment models. This allows them to deliver superior performance and stay adaptive in an ever-changing market environment.
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Despite being a startup, they are now experiencing rapid expansion and growth, continuously expanding their customer base and gaining traction in the market. With a focus on scalability and strategic expansion, they are actively broadening its presence in various markets.
Job Description
- Implement Compliance Monitoring Program at the Group level.
- Ensure compliance with relevant laws, regulations, and internal policies across Group companies.
- Develop monitoring protocols and conduct assessments to identify compliance issues.
- Track and implement corrective actions in collaboration with various departments and teams.
- Undertake ad hoc compliance projects and support Group-wide responsibilities.
- Design and implement process and controls testing for key business processes from a risk management perspective.
- Manage day-to-day compliance function for the Fund Management Company in Hong Kong.
- Oversee Type 1, Type 4, and Type 9 regulated activities in Hong Kong.
- Implement Group's compliance strategy, frameworks, policies, and procedures in Hong Kong.
- Provide advisory, review, and support on regulatory, policy, and financial crime matters in Hong Kong.
- Lead and support business on regulatory requirements for product launches, marketing, distribution, and new initiatives in Hong Kong.
The Successful Applicant
- Bachelor's degree in Business Administration, Finance, Law, Commerce, accounting, Economics or a related field.
- Advanced degree or professional certifications (e.g., Certified Compliance Professional) would be advantageous.
- Proven experience (6-8 years) in compliance, operational risk management, internal audit, regulatory consulting, fintech compliance or a related field.
- Strong knowledge of regulatory frameworks, laws, and industry standards applicable to the organization.
- Familiarity with compliance monitoring techniques, risk assessment methodologies, and corrective action implementation.
- Strong project management skills with the ability to prioritize tasks, meet deadlines, and manage multiple projects simultaneously.
- Excellent interpersonal and influencing skills, and multicultural awareness with the ability to articulate complex compliance concepts to both technical and non-technical stakeholders.
- Ability to work independently and collaboratively within a cross-functional team environment.
- Strong ability to communicate effectively in English and Cantonese (oral and writing).
What's on Offer
- Employee financial and physical well-being
- Flexible work arrangements and policies
- Learning and development opportunities
- Team bonding budget and initiatives
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