SFC/HKEX Compliance & MLRO Specialist

Realord Asia Pacific Securities Limited; Hong Kong; Vor Ort; HKD 420.000 - 660.000; Vollzeit

Zusammenfassung

Realord Asia Pacific Securities Limited is seeking an experienced Compliance professional in Hong Kong to manage regulatory requirements across SFC and HKEX, oversee client onboarding, and maintain AML guidelines. You will coordinate licensing, CRS/FATCA reporting, and staff training while acting as MIC & MLRO for relevant SFC types.

The role requires strong knowledge of Hong Kong capital markets, bilingual communication skills, and the ability to work under pressure.

Qualifikationen

• Degree holder in Business Administration, Law, Finance or related professional qualification.
• At least 2 years of relevant experience in Compliance in a Financial Institution with SFC exposure.
• Solid 2 years of experience in Compliance MIC & MLRO responsibilities.
• Compliance experience in Securities Firm is highly recommended.
• Strong understanding of capital markets rules and HK regulations (SFC/HKEX).
• Excellent written and spoken English and Chinese (Cantonese & Mandarin).
• Immediate availability is highly preferable.

Aufgaben

• Handle general enquiries from SFC regulations Type 1,4,9, HKEX and regulators.
• Manage client regulatory and compliance policies and monitor risk to fulfill SFC / HKEX requirements.
• Manage client onboarding and periodic review processes for existing clients and investors.
• Formulate, maintain and update AML policies and guidelines.
• Handle staff licensing, CRS and FATCA reporting.
• Track CPT hours against regulatory requirements and reconcile variances.
• Provide in-house AML training for staff.
• Serve as Compliance MIC & MLRO for SFC regulations Type 1,4,9.
• Handle other ad-hoc projects and assignments as required.

Kenntnisse

SFC regulations

HKEX knowledge

AML compliance

MLRO duties

Regulatory reporting

Onboarding compliance

English Chinese

Ausbildung

Degree in Business

Law/Finance background

Professional qualification

Jobbeschreibung

Realord Asia Pacific Securities Limited is seeking an experienced Compliance professional in Hong Kong to manage regulatory requirements across SFC and HKEX, oversee client onboarding, and maintain AML guidelines. You will coordinate licensing, CRS/FATCA reporting, and staff training while acting as MIC & MLRO for relevant SFC types.

The role requires strong knowledge of Hong Kong capital markets, bilingual communication skills, and the ability to work under pressure.