Description

1. Manage SFC & HKMA licensing processes for employees, ensuring compliance with regulatory requirements.
2. Oversee Personal Account Dealing (PAD) activities to prevent conflicts of interest and insider trading.
3. Monitor outsourcing arrangements to ensure they meet regulatory standards and internal policies.
4. Coordinate regulatory reporting activities, including submissions to relevant authorities.
5. Develop and deliver compliance training programs to educate employees on relevant regulations and internal policies.
6. Conduct regular reviews of employee compliance with regulatory requirements and internal policies.
7. Investigate and address any instances of non-compliance, escalating issues as needed.
8. Stay updated on regulatory changes and industry best practices related to employee compliance.

1. Bachelor's degree in Finance, Business, or related field.
2. 3-5 years of experience in compliance within a global financial institution.
3. Knowledge of SFC WINGS is an advantage
4. Excellent communication skills with the ability to interact with stakeholders at all levels.
5. Strong attention to detail and ability to work under pressure in a fast-paced environment.
6. Professional certifications in compliance or related fields are a plus.