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Assistant Vice President / Vice President (Legal & Compliance Department)
Bo Le Associates Ltd
January 14, 2018
~~Assistant Vice President / Vice President (Legal & Compliance Department)~~
This person will be responsible for:
participating in FinTech-related, transaction monitoring & KYC remediation projects
keeping the business informed regarding upcoming regulatory developments
covering day-to-day compliance responsibilities for the firm including SFC reporting, licensing, AML, KYC, and general compliance duties
assisting compliance monitoring program & document reviews
designing and providing trainings
This person must have:
more than 6 years of experience in compliance function in financial services
understanding of securities industry regulations including SFO and other SFC requirements (especially AML and KYC requirements) and regulatory compliance (e.g. FATCA, CRS, MiFID, etc)
hardworking and willingness to work on operational projects on day-to-day basis
You will need to demonstrate that you are able to identify, assess and brief stakeholders on risks associated with business processes and deliver compliance training. The ability to assimilate complex information into simple English is also important.
If candidates have also had exposure to Legal and/or Company Secretarial duties, this would be an added bonus although is in no way essential.