Our client is a fast-growing Investment Management group with Asset Management, Crypto Exchange and Web3 Technology business. The group is led by a CEO who is known for his entrepreneurial spirit, resilience and adaptability. By contributing these qualities together with his strategic mindset, leadership and his innovative dream team, the business has become a prominent player in the industry globally. With its’ wide range of business activities, products and services, they are expanding rapidly in the market, as they inject technology and innovative solutions into their business. Their trading volume has grown rapidly, and eager to expand further. With the changing needs of the markets and commitment towards sustainable development & growth in the regions, they are currently looking for an experienced Compliance talent to join the organization. The role is based in Hong Kong.
• Develop and implement compliance policies and procedures to ensure adherence to relevant local laws and regulations, including UK, EU, US, HK, SG, JP and Bermuda
• Conduct regular risk assessments and audits to identify compliance issues and gaps.
• Provide guidance and training to staff on compliance matters to promote a culture of compliance within the organization.
• Monitor and analyze regulatory changes and developments to ensure the institution's compliance framework remains up-to-date.
• Liaise with regulatory authorities and industry bodies to stay informed on key compliance issues and best practices.
• Investigate compliance violations, report findings, and implement corrective actions to address any identified deficiencies.
• Oversee the design and implementation of compliance monitoring and testing programs to ensure ongoing adherence to regulatory requirements.
12+ years of hands-on and all-rounded compliance experience in FIs. Possess multi-jurisdictional exposure. Embrace start-up culture and environment. Willingness to take on business travels. As one of the main Compliance representatives of the company, you must possess excellent presentation and communication skills and be fluent in Chinese and English. Possess a strategic mindset, excellent risk awareness, global vision and being ethical. You are proactive, self-motivated, agile in learning, 0pen-minded and up for challenges.
Our client offers the benefits of a work environment that is stimulating, challenging and balanced. You will be working in an Exciting and Fast-Paced Environment for an Established Organization; and being a part of an Employee & Customer Centric Business that provides a large degree of autonomy to their management team and encourages creativity and development of new ideas.