Head of Compliance (Tech Company VATP Role)

Company

Our client is a Hong Kong Fintech company offering SocialFi and also applying for a Virtual Asset Trading Platform SFC type 1,7 license.

Responsibilities

• Carry out your duties as a Manager-in-Charge as related to SFC for Compliance of the Company
• Act as an adviser to the Senior Management on general compliance, regulatory, financial crime, AML, KYC and data protection matters.
• Monitor regulatory changes and industry developments to ensure compliance with relevant laws, rules, and regulations
• Implement, work with internal teams and external consultants to review policies, standard operating procedures, systems implementation, and internal controls for regulatory compliance programs to ensure licensing commitments and obligations are fulfilled.
• Review and advise on areas of regulatory change and applicable best practice in the region and update relevant manuals and procedures as necessary.
• Assist on the selection of compliance IT vendor for the purpose of AML and KYC compliance, KYT and trade surveillance etc.
• Manage and enhance the compliance and financial crime framework.
• Conducting periodic compliance monitoring and performing regular surveillance activities, reporting to the senior management on the appropriateness and effectiveness of the Company's systems and controls, and implementing any required enhancements.
• Conduct periodic company-wide AML risk assessment and AML policy review, including ongoing assessments.
• Maintain close liaison with the relevant regulatory bodies (SFC) and obtain any necessary licenses, consents, make ad hoc notifications, file periodic regulatory returns and providing information upon request.
• Design and deliver staff training and internal briefings to ensure that the Company and its staff comply with applicable legislations, topics may include but not limited to regulatory changes/developments and their impact on their Company.
• Build strong regulatory relationship with all respective regulatory bodies and championing the adoption of best industry standards.

Requirements

• Bachelor's degree in finance, economics, business administration, or a related field.
• At least 5 years of experience in a compliance role within cryptocurrency industry or financial services
• Knowledge of relevant laws and regulations, including anti-money laundering (AML) and know-your-customer (KYC) requirements
• Strong analytical and problem-solving skills
• Excellent communication and interpersonal skills
• Ability to work independently and prioritize tasks effectively
• Familiarity with blockchain technology and cryptocurrency markets is a plus
• Fluent in English and in Cantonese

Application Options

If you're interested in this role, click 'Apply' now. For further information and a confidential discussion, you can email Winston Tse at

Originally posted on Himalayas