SVP, Compliance
Our client is a prominent organization committed to maintaining the highest standards of regulatory compliance and internal controls. The company values a proactive and detail-oriented culture, encouraging team members to uphold integrity and excellence in all initiatives. This role involves supporting the compliance function through various monitoring, advisory, and administrative tasks, contributing to the company's overall compliance integrity and risk mitigation.
Role Overview:
The SVP, Compliance plays a key role in establishing and maintaining effective compliance programs, ensuring adherence to regulatory requirements and internal policies. The position involves direct engagement with transaction monitoring, client reviews, and training activities, supporting the business in compliance matters to sustain operational excellence.
Key Skills & Experience:
• 4-6 years of legal and compliance experience in brokerage companies or with regulators
• Degree holder in Business, Finance, Law, or related disciplines
• Proficiency in written and spoken English, Cantonese, and Putonghua
• Excellent communication and presentation skills
• Proactive attitude and team-oriented mindset
• Responsible and capable of working under pressure
• Immediately available preferred
Key Responsibilities:
• Perform license applications, notifications, enquiries, complaints, surveys and maintain relevant records
• Conduct transaction monitoring, trade surveillance, name screening, and investigate suspicious transactions
• Establish compliance monitoring programs and conduct regular reviews, including staff dealing activities
• Perform AML/KYC assessments and account opening reviews for retail and institutional clients
• Advise on compliance with FATCA and CRS reporting requirements
• Review marketing materials, client documentation, and notices
• Conduct internal compliance training and maintain CPT records
• Provide ongoing compliance guidance to the business and undertake ad hoc projects
• Maintain regulatory documentation, coordinate compliance activities, and support regulatory reporting
This is a permanent, on-site position with a salary of £0.00 per month. Candidates with relevant experience and a proactive approach are encouraged to apply and join a dynamic compliance team dedicated to excellence.
