SFC Regulatory Compliance:

• Act as the primary point of contact with the Securities and Futures Commission (SFC) for licensing and ongoing compliance matters.

• Ensure adherence to SFC’s Virtual Asset Trading Platform (VATP) licensing regime, including:

  • AML/CFT guidelines (e.g., SFC’s AML/CFT Handbook)

  • Securities and Futures Ordinance (SFO) requirements

  • Investor protection measures (e.g., client asset segregation, risk disclosures)

• Prepare and submit regulatory filings (e.g., suspicious transaction reports, annual compliance audits).

AML/CFT & KYC Oversight:

• Implement SFC-compliant AML/CFT policies, including:

  • Enhanced due diligence (EDD) for high-risk clients

  • Source of funds (SOF) and source of wealth (SOW) verification

  • Ongoing monitoring of politically exposed persons (PEPs) and sanctioned entities

• Conduct independent compliance reviews and risk assessments.

Market Surveillance & Trading Compliance:

• Monitor trading activities to prevent market manipulation (e.g., wash trading, spoofing) in line with SFC guidelines.

• Ensure compliance with SFC’s requirements on token listing and delisting (e.g., due diligence on virtual assets).

Licensing & Regulatory Engagement:

• Manage SFC Type 7 (Automated Trading Services) and Type 1 (Dealing in Securities) licensing applications and renewals.

• Liaise with SFC inspectors during audits and examinations.

Internal Controls & Training:

• Develop and deliver SFC-specific compliance training for employees.

• Maintain policies for conflict of interest management, insider trading prevention, and data security under SFC rules.

• • Education: Bachelor’s degree in Law, Finance, or related field; ACAMS, AAMLP, or SFC licensing-related certifications preferred.

  • Experience:

    • 5+ years in SFC-regulated compliance roles (crypto, securities, or fintech).

    • Experience with VATP licensing requirements is a plus

  • Technical Skills:

    • Proficiency in SFC regulatory reporting tools and blockchain analytics (e.g., Chainalysis).

    • Familiarity with Hong Kong AML/CFT laws and SFO provisions.

  • Language: Fluency in English and Cantonese/Mandarin (written & spoken).