Our client is a financial services firm dedicated to providing personalized and comprehensive solutions to meet the unique needs of their clients. With a team of experienced professionals, our client offers a wide range of services, including wealth management, investment advisory, retirement planning, and estate planning. Their client-centric approach focuses on building long-term relationships based on trust, integrity, and transparency.
• Develop, implement, and maintain compliance policies and procedures in accordance with Securities and Futures Commission (SFC) regulations for Type 1 and 6 licensed activities.
• Conduct regular compliance reviews and assessments to ensure adherence to regulatory requirements and internal policies.
• Monitor and analyze changes in SFC regulations and industry best practices to ensure ongoing compliance.
• Provide guidance and training to employees on compliance matters related
• Manage regulatory filings and reporting requirements to the SFC, including license renewals and notifications.
• Conduct internal investigations and respond to inquiries from regulatory authorities related to Type 1 and Type 6 licensed activities.
• Collaborate with senior management and other departments to address compliance issues and implement corrective actions.
Bachelor's degree in finance, business administration, law, or a related field. 5+ years of experience in compliance roles within SFC Type 1 and 6 licensed corporations, with a strong understanding of regulatory requirements in the financial services industry. In-depth knowledge of SFC regulations, guidelines, and codes of conduct applicable to Type 1 and 6 licensed activities. Experience in developing, implementing, and maintaining compliance policies, procedures, and controls to ensure adherence to regulatory requirements. Strong analytical skills, attention to detail, and the ability to effectively communicate compliance issues to senior management and relevant stakeholders.
You are proactive, self-motivated, agile in learning, open-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.
Please note that only short-listed candidates will be notified. All information gathered will be treated in strict confidence and solely used for recruitment purposes.