Job Responsibilities:

• • • • 1. • Offer actionable advice on compliance for businesses such as retail and institutional brokerage, as well as global markets operations.

           • Oversee client onboarding processes and ensure KYC procedures are followed.

           • Develop and regularly update internal policies and manuals to ensure alignment with regulatory requirements.

           • Review, negotiate, and provide guidance on agreements, legal contracts, and other documents.

           • Manage compliance-related projects or tasks as assigned.

           • Conduct compliance checks on regulated activities.

           • Provide support and guidance to business, management, and operations teams on compliance issues.

Requirements:

• • • • • • Hold a degree, preferably in Finance, Accounting, or Law.

          • Have at least 8-10 years of experience in a financial institution.

          • Possess strong interpersonal and communication skills.

          • Have excellent command of both written and spoken English and Chinese (including Putonghua).

          • Are a detail-oriented team player who can also work independently.

          • Candidates with less experience may be considered for the role of Assistant Compliance Manager.