Key Responsibilities:
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- Provide compliance advice for retail and institutional brokerage businesses.
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- Monitor regulatory trends and ensure compliance with applicable rules.
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- Manage license applications, trade surveillance, AML/KYC reviews, and client onboarding.
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- Establish compliance frameworks, policies, and monitoring programs.
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- Review client documents, marketing materials, and new product initiatives.
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- Conduct internal compliance training and maintain CPT records.
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- Handle ad hoc compliance projects as needed.
Key Requirements:
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- Degree in Business, Finance, Law, or related fields.
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- 6–8 years of compliance experience in brokerage or regulators.
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- Fluent in English, Cantonese, and Putonghua.
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- Strong communication, proactive mindset, and ability to work under pressure.
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- Immediate availability preferred.