Aspenwood Capital Limited Hiring! Full Time Compliance Officer in Hong Kong - Ricebowl

Responsibilities:

• Oversee overall compliance matters within the organization and be responsible for all regulatory filings and reporting in relation to the SFC’s Type 4 & 9 regulated activities;

• Ensuing compliance and operational risk controls are well in place and that policies/procedures reflect regulatory requirement;

• Monitor suitability assessment for the SFC’s Type 4 & 9 regulated activities to meet regulator’s expectation;

• Provide recommendation and research on all legal and regulatory developments and update management the periodically;

• Enforce compliance controls and reviews to ensure licensed individuals and/or the company are complying with the licensing requirements;

• Facilitate investor onboarding processes, including Professional Investor (PI) confirmation, AML, KYC, and suitability assessments;

• Deliver compliance training to employees and licensed individuals and monitor their CPT requirements;

• Assist in dealing with licensing related matters and deal with SFC;

• Handle staff personal account dealing and conduct periodic reporting

  
  

Requirements:

• Bachelor degree in finance, economics, law, business administration or any related disciplines;

• 3-5 years of experience in compliance preferably with a licensed corporation (e.g. asset management firm) with SFC Types 4 & 9 license;

• Sound knowledge in various financial products;

• Experience in dealing with the SFC for license application;

• Excellent interpersonal and communication skills; and

• Excellent command of spoken and written English, Cantonese and Putonghua.