Senior Compliance Officer (Business Compliance)Provide compliance advice to business units and associated parties, including comments on new business initiatives. Formulate and implement policies and procedures to ensure compliance with the regulations. Monitor and assess the effectiveness of the compliance program and make recommendations for improvements, such as client onboarding, CDD/KYC/AML related processes, etc. Liaise and collaborate with different business units to formulate, drive, and implement remediation of compliance issues. Deliver in-house compliance training. Assist in other assignments or ad hoc duties whenever necessary. Requirements Undergraduate Degree in Law, Accountancy, Finance, or related disciplines. Minimum 3 years of relevant experience in the securities brokerage industry. Good understanding of SFC codes and regulatory requirements. Sound knowledge in AML regulatory requirements is an advantage. Good command of written & spoken Chinese and English; proficiency in Mandarin is a privilege. A systems thinker with strong communication skills and a high degree of professional maturity. Thrives in iterative environments – excels at knowledge sharing and coaching junior team members. Seniority level Associate Employment type Full-time Job function Analyst and Finance #J-18808-Ljbffr