Our Client is an international digital assets specialist, newly established in Hong Kong who seeks an experienced Compliance Officer to join at an exciting time its growth. 

The successful candidate will play a crucial role in supporting the application and operation of a Trust or Company Service Provider (TCSP) license, ensuring the company adheres to all regulatory requirements and effectively manages risks related to anti-money laundering (AML), counter-financing of terrorism (CFT), and other compliance-related matters.

Key Responsibilities

Regulatory Compliance:

• Develop, implement, and maintain compliance policies, procedures, and controls in line with Hong Kong regulatory requirements, particularly for TCSPs and digital asset businesses.
• Ensure ongoing compliance with the Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO) and other relevant laws and regulations.
• Monitor regulatory developments and ensure timely updates to compliance practices.

AML/CFT Program Management:

• Design and oversee the implementation of the companys AML/CFT framework, ensuring robust systems are in place for customer due diligence (CDD), ongoing monitoring, suspicious transaction reporting, and record-keeping.
• Serve as the primary point of contact for the Hong Kong Monetary Authority (HKMA) and other regulatory bodies concerning AML/CFT matters.

Risk Management:

• Conduct risk assessments specific to the companys operations in digital assets and develop strategies to mitigate identified risks.
• Regularly review and update the companys risk management policies and procedures, ensuring they align with the evolving regulatory landscape.

Training and Awareness:

• Develop and deliver comprehensive training programs for staff on AML/CFT, regulatory compliance, and internal policies.
• Foster a culture of compliance across the organization by ensuring that all employees understand their roles in maintaining regulatory adherence.

Reporting:

• Prepare and submit regular compliance reports to senior management and the Board of Directors, highlighting key compliance issues, risks, and mitigation strategies.
• File suspicious activity reports (SARs) in accordance with regulatory requirements.

Audit and Investigation:

• Coordinate with internal and external auditors during compliance audits and ensure timely resolution of any identified issues.
• Lead investigations into potential compliance breaches and take appropriate remedial actions.

Required Qualifications & Experience

• Minimum Bachelors or Masters degree in Law, Finance, Business Administration, or a related field.
• Preferred: relevent professional certification such as Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), International Diploma in Anti-Money Laundering (ICA) or HKMA ECF-AML/CFT certification.
• Minimum of 3-5 years of experience in compliance, AML/CFT consulting or regulatory roles within the financial services or risk consulting industry, preferably with exposure to digital assets or fintech.

Required Skills & Attributes

• Minimum: solid understanding of compliance regulations, particularly in financial services, banking, or digital assets with experience of AML/CFT compliance, risk management or risk consulting, and liaising with regulatory bodies.
• Preferred: strong understanding of Hong Kong's regulatory framework, particularly the Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO), TCSP licensing rules, and SFC licensing conditions.
• Excellent analytical and problem-solving skills, with the ability to assess complex compliance issues and implement effective solutions.
• Strong communication skills, both written and verbal, with the ability to interact with regulatory authorities, senior management, and staff at all levels.
• Proficiency in compliance-related software and tools.
• High ethical standards and integrity, with a strong commitment to regulatory compliance and risk management.
• Ability to work independently and make sound decisions under pressure.
• Detail-oriented with strong organizational skills.
• Fluent verbal communication and excellent reading and writing skills in both English and Mandarin.

Next Steps:

Please click Apply to submit your CV and application for this position. 

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