This position functions as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization. The position ensures the management and employees are: (i) in compliance with the rules and regulations of regulatory agencies, (ii) that Company policies and procedures are being followed, and (iii) that behavior in the organization meets the Company’s standards of conduct. This position will include the development, supervision and monitoring of compliance programs, compliance testing audit, customer complaints and resolution programs.

PRIMARY RESPONSIBILITIES (include, but are not limited to)

The Compliance Officer reports to the Compliance Manager by monitoring and reporting results of the compliance/ethics issues and providing guidance for the senior management team on matters relating to compliance.

The Compliance Officer, together with the Compliance Manager, shall implement all necessary actions to ensure achievement of the objectives of an effective compliance program.

Preparing, maintaining, and updating policies and procedures for the general operation of the Company to comply with the latest laws, regulations and requirements.

Providing guidance and advice to management and employees of the Company from compliance perspective.

Collaborating with other departments of the Company to direct compliance issues to appropriate existing channels for investigation and resolution. Consulting with legal counsels as needed to resolve difficult legal compliance issues.

Responding to alleged breach or violation of rules, regulations, policies, procedures, and standards of conduct by recommending effective investigative procedures and sensible solutions.

Preparing submission to regulators including but not limited to, licensing, investigation, annual questionnaire and annual returns.

Acting as an independent review and evaluation body to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved.

Being familiar with status of all compliance activities and able to identify trends.

Managing customer complaint process and conducting analysis on trends regarding compliance and regulatory activities.

Identifying potential areas of compliance vulnerability and risk; developing and implementing corrective action plans to tackle problematic issues, and providing guidance and advice on how to avoid or deal with similar situations in the future.

Providing work reports on a regular basis, and as directed or requested, to keep the senior management team and the Compliance Manager informed of the operation and progress of compliance matters.

Ensuring proper and timely reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.

Establishing and managing a compliance “hotline” within the Company.

Raising awareness of compliance throughout the Company, and being familiar with all relevant laws, rules, regulations, guidelines, and requirements of regulators to ensure compliance.

Working with the Human Resources Department and Legal & Compliance Department as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees.

Monitoring and improving effectiveness of the compliance program.

Maintaining professional and technical knowledge by attending educational workshops, and reviewing professional publications.

Any other responsibilities as directed by the senior management team or the Compliance Manager.

KNOWLEDGE AND SKILL REQUIREMENTS

University degree in law, accounting, finance or related disciplines.

A minimum of 5 years’ experience of compliance in a securities company, trust company or company secretarial firm.

Must have good understanding of securities, trust and company secretarial operations.

Must be familiar with securities, trust and company secretarial related rules and requirements for conducting regulated activities.

Familiar with operational, financial, quality assurance, internal controls procedures and regulations.

Must have the ability to safekeeping confidential information.

Must possess excellent time management skills, organizational and communication skills, both oral and written and present professional image and be strongly customer-oriented.

Must be able to plan, prioritize, delegate, and follow through to successful completion, all assignments and ability to work effectively with minimum direction and supervision.

Must be able to train and teach employees.

BENEFITS & OTHERS:
Five-day work week

Medical & Dental Insurance

Performance Bonus

Interested parties please send us your resume with your latest and expected salaries or please call us at +852-3653-8888 or email us at [email redacted, apply via Company website] for a confidential discussion.
All information received will be used for recruitment purpose only and will be treated as strictly confidential.
Applicants not hearing from us within four weeks from the date of advertisement may consider their applications unsuccessful. All personal data of unsuccessful applicants will be destroyed after the recruitment exercise when no longer required.

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Full-time