AVP/Vice President, Compliance

BOSC International Company Limited; Hong Kong; On-site; HKD 420,000 - 780,000; Full time

Job summary

BOSC International Company Limited is seeking a compliance professional to oversee general compliance across brokerage, asset management and FICC activities, advising on internal controls and business matters.

The role acts as primary liaison with regulators, handles licensing, AML/CFT, staff onboarding, monitoring and surveillance, policy reviews, and staff training, with ongoing awareness of regulatory developments.

Qualifications

• Degree holder in Finance, Law, Business or related disciplines
• 4 to 6 years of relevant experience in compliance gained in SFC regulated corporations
• Sound knowledge in SFO and SFC related regulations, circulars and guidelines
• Ability to work independently with good communication and interpersonal skills
• Self-motivated and proactive with problem solving skills
• Proficient in both spoken and written English and Chinese, fluent in Putonghua is preferable

Responsibilities

• General compliance work covering business activities such as brokerage, asset management and FICC business
• Provide sound compliance advice and solutions on internal control and business matters
• Act as the primary liaison point with regulators and process licensing matters
• Handle AML/CFT compliance issues and safeguard client on-boarding processes
• Conduct regular compliance reviews on policies, procedures and systems
• Provide compliance training to staff members
• Perform monitoring and surveillance, including staff dealing monitoring
• Keep abreast of the regulatory developments, interpret and provide advice on policies, regulatory requirements and impact, and control related processes
• Perform ad-hoc tasks as assigned

Education

Degree in Finance, Law, Business or related disciplines

Job description

General compliance work covering business activities such as brokerage, asset management and FICC business

Provide sound compliance advice and solutions on internal control and business matters

Act as the primary liaison point with regulators and process licensing matters

Handle AML/CFT compliance issues and safeguard client on-boarding processes

Conduct regular compliance reviews on policies, procedures and systems

Provide compliance training to staff members

Perform monitoring and surveillance, including staff dealing monitoring

Keep abreast of the regulatory developments, interpret and provide advice on policies, regulatory requirements and impact, and control related processes

Perform ad-hoc tasks as assigned

Requirements

Degree holder in Finance, Law, Business or related disciplines

4 to 6 years of relevant experience in compliance gained in SFC regulated corporations

Sound knowledge in SFO and SFC related regulations, circulars and guidelines

Ability to work independently with good communication and interpersonal skills

Self-motivated and proactive with problem solving skills

Proficient in both spoken and written English and Chinese, fluent in Putonghua is preferable