Assistant Compliance Manager / Compliance Manager (General Compliance)
Core
Supervise licensing works, provide compliance advice on securities brokerage and wealth management, and manage regulatory interactions.
Role type
Compliance Manager (General Compliance)
Builds
Internal controls, procedures, and systems for securities brokerage and wealth management business.
Domain
Financial Services / Securities Regulation
Required skills
Securities and Futures Commission regulations, AML knowledge, legal contract review, regulatory filings, audit management, compliance training, internal controls design
Preferred skills
Fintech experience, professional AML/compliance qualification
Technologies
N/A
Responsibilities
Supervise licensing related works, Provide compliance advice to business units, Review and advise on legal and compliance contracts, Manage internal and external audit and regulatory inquiries, Conduct compliance training
Seniority
Mid-Senior, hands-on IC
