Senior VP, Compliance & AML/KYC Lead

Webull Securities Limited; Hong Kong; Vor Ort; HKD 480.000 - 640.000; Vollzeit

Zusammenfassung

Webull Securities Limited is seeking a seasoned Compliance professional in Hong Kong to manage license applications, monitoring and regulatory reporting. You will conduct AML/KYC reviews, advise on FATCA/CRS matters, and supervise staff dealing activities to ensure adherence to internal controls.

The role requires 4–6 years' experience in brokerage or a regulator, strong English, Cantonese and Putonghua communication, and ability to work under pressure. Immediate availability is preferred.

Qualifikationen

• 4–6 years of legal and compliance experience in brokerage companies/regulator
• Proficiency in written and spoken English, Cantonese, and Putonghua is a must
• Excellent communication and presentation skills
• Proactive working attitude and a team player
• Immediately available is preferred

Aufgaben

• Perform license applications, notifications, enquiries, complaints, surveys and maintain relevant records
• Perform transaction monitoring, trade surveillance, name screening and investigations into suspicious transactions
• Establish compliance monitoring programs and conduct regular reviews of staff dealing activities
• Perform AML/KYC and account opening reviews including customer due diligence and periodic reviews
• Advise on compliance with FATCA and CRS reporting matters
• Review marketing materials, client documentations and notices
• Conduct internal compliance trainings and maintain CPT records
• Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements
• Undertake ad hoc compliance projects and initiatives as required
• Provide administrative support to the legal & compliance department with regulatory documentation and record-keeping

Kenntnisse

English proficiency

Cantonese

Putonghua

Communication skills

Team player

Under pressure

Ausbildung

Degree in Business/Finance/Law or related

Jobbeschreibung

Webull Securities Limited is seeking a seasoned Compliance professional in Hong Kong to manage license applications, monitoring and regulatory reporting. You will conduct AML/KYC reviews, advise on FATCA/CRS matters, and supervise staff dealing activities to ensure adherence to internal controls.

The role requires 4–6 years' experience in brokerage or a regulator, strong English, Cantonese and Putonghua communication, and ability to work under pressure. Immediate availability is preferred.