锦鲤求职岗位描述
岗位职责
Job Summary: We are seeking a dedicated and experienced Compliance Officer to join our team. The ideal candidate will provide day-to-day compliance advisory to various business units, handle compliance-related projects, and contribute to business planning and processing. This role requires over 10 years of experience in a sizeable SFC-regulated financial institution, with solid expertise in providing compliance advisory services.
Key Responsibilities
- Manage and oversee compliance-related projects, ensuring full adherence to applicable regulatory requirements
- Handle compliance advisory matters raised by different stakeholders, including but not limited to regulatory standards and marketing materials
- Develop and implement compliance policies, procedures, controls, and ongoing monitoring programs
- Provide guidance and support to various departments on compliance matters
- Liaise with regulatory bodies and ensure timely and accurate regulatory reporting
- Stay abreast of regulatory developments and ensure the organization’s compliance framework remains current and effective
- Acting as Deputy Head to support the Head of Legal & Compliance in handling assigned matters
岗位要求
- Bachelor’s degree in law, Finance, Business, or a related field
- Over 10 years of relevant compliance advisory experience within a sizeable SFC-regulated financial institution
- Strong understanding of global financial markets, with solid knowledge in Hong Kong and U.S equities & options, China A/H shares, ETFs, derivatives, and cross-border investment products
- Experience in supervising staff is preferred
- Excellent analytical and problem-solving skill
- Strong communication and interpersonal skill
- Ability to work independently and as part of a team
- Detail-oriented with a high level of accuracy