Job Responsibilities

📍Work with internal stakeholders (e.g. Legal, Compliance, Product, Technology etc.) and external stakeholders (e.g. External Counsel, auditor) to assure quality and accurate responses/submissions to regulators with regard to the licensing application and ongoing operational reporting; 📍Assist with the periodic review of policies and trainings; 📍Conduct compliance monitoring activities and investigations; 📍Manage licensing, regulatory filings, inspections, and audits, ensuring timely and accurate submissions; 📍Work with different stakeholders to ensure ongoing compliance with the SFC’s regulatory requirements; 📍Identify, highlight and manage regulatory risks, findings and recommendations that are identified internally through independent reviews or examinations; 📍Manage key compliance projects and make sure they are executed on a timely basis and in compliance with local regulatory requirements. 📍Identify and circulate relevant regulatory publications and communications to applicable staff and stakeholders; 📍Perform general administrative duties and any other duties and responsibilities as required 📍Minimum of three years experience in a legal or compliance role in financial institutions, experience in virtual assets (cryptocurrency) is preferred; 📍Strong knowledge of the Securities and Futures Ordinance (Cap. 571)(SFO), and the Anti-Money Laundering and Counter-Terrorist Financing Ordinance (Cap. 615)(AMLO); 📍Knowledge of the SFC’s regulatory regime on Virtual Asset Trading Platform Operators; 📍Experience in interacting with regulators is a plus; 📍Hands-on experience in compliance screening, surveillance and case management systems, e.g. Scila, LexisNexis, Chainalysis, is preferred; 📍Good team player with positive attitude and self-motivation 📍Must be able to perform independently and with minimal supervision; 📍Highly organized and detail oriented;Excellent communication skills - verbal and written; 📍Proficient in English and Cantonese;