Compliance Officer

China Securities (International) Finance Holding Company Limited; Hong Kong; On-site; HKD 650,000 - 1,200,000; Full time

Job summary

China Securities (International) Finance Holding Company Limited is seeking a senior compliance professional to design and maintain the company’s compliance program and monitor AML/FCC and sanction regimes.

You will advise on onboarding, KYC, and continuous CDD, and work with business units to ensure regulatory conformance across wealth management, sales and trading, research and asset management.

Qualifications

• Minimum 4 years compliance experience in financial/securities sector and/or regulatory bodies.
• Familiar with securities laws and regulations, AMLO, SFC code and guidance and best market practice.
• CAM S holder preferred.
• Strong communication skills in English and Chinese.

Responsibilities

• Design, implement and maintain effective compliance program including policies and procedures.
• Assist in compliance monitoring, testing and internal reviews for wealth management, sales and trading, research and asset management.
• Advise on compliance issues in transactions and client onboarding, KYC and continuous CDD.
• Oversee day-to-day operations to monitor AML/FCC, sanctions, suitability, anti-fraud and market manipulation risks.
• Propose and implement surveillance programs to identify and report suspicious trading activities.
• Collaborate with business on new products and trading platforms to ensure firm-level regulatory compliance.
• Establish periodic reviews of policies and procedures for risk mitigation and compliance.
• Communicate with regulators (e.g., SFC, HKEX) and internal teams and address inquiries.

Skills

Analytical skills

Attention to detail

Problem solving

Communication skills

Team player

English & Chinese

Education

Law/Accounting/Finance degree

Job description

Responsible for secondary market business compliance function to ensure the Company's operation adheres to relevant legal and regulatory requirements, and monitor business associated AML/FCC and sanction compliance related activities.

Key responsibilities

Assist to design, implement and maintain effective compliance program (including but not limited to policies and procedures) to ensure compliance with the applicable regulatory requirements.

Assist in compliance monitoring, testing and internal reviews with regard to secondary market business lines such as wealth management, sales and trading, research and asset management.

Advise business on compliance issues in transactions and provide ongoing guidance to the business on client onboarding, KYC, continuous CDD and other client related requirements.

Oversee day to day business operation to monitor and manage AML/FCC, sanction, suitability, anti-fraud and market manipulation related risks.

Propose and implement surveillance programs on respective business lines and operational functions to effectively identify, evaluate and report suspicious trading activities.

Work closely with business to develop new product and new trading platform, to enhance daily operational workflow to ensure regulatory compliance at firm level.

Establish and conduct periodical review on compliance policies and procedures for the purpose of risk mitigation and regulatory compliance.

Communicate with relevant regulators (e.g., SFC, HKEX) and internal teams on compliance issues or findings and provide solutions to properly address the issue, and handle inquiries from the regulators.

Design compliance training programs including preparation and circulation of update regulatory requirements to improve compliance awareness among staff.

Handle Head Office enquiries and various reporting tasks in timely manner.

About you

College degree holder in Law, Accounting, Finance or related discipline(s), CAMS holder preferred.

Minimum 4 years compliance experience in financial/securities sector and/or regulatory bodies, with client onboarding and continuous review experience.

Familiar with securities laws and regulations, AMLO, SFC code and guidance and best market practice.

Good knowledge of securities and futures business, features of financial market products and services and operation flow.

Demonstrate organized and details-oriented capabilities, problem solving and analytical skills.

Self-motivated, independent and a team player with good communication skills at all level.

Good command of written and spoken English and Chinese (including Putonghua).