Responsibilities:

• Provide compliance guidance on transactions, regulatory requirements, and operational processes to ensure adherence to applicable laws and standards
• Stay updated on regulations, laws, and codes, advising the business on legal and compliance implications
• Ensure new products and systems align with compliance standards
• Develop compliance monitoring programs and investigate suspicious transactions
• Review and update internal policies to meet regulatory and internal control standards
• Address AML-related compliance issues
• Oversee licensing/registration compliance and manage regulatory risk tracking
• Conduct compliance training and support ad hoc initiatives

Requirements:

• Minimum 8 years of legal and compliance experience in brokerage/securities
• Fluent in English, Cantonese, and Mandarin
• Strong project management and organizational skills