Associate Director/ Senior Manager, Compliance_FinTech

  • HKD90000 - HKD120000 per month
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • iKas International (Asia Pacific)
  • 03 Aug 18 2018-08-03

About Our Client With the rapid development of Financial Technology (FinTech) in recent years and more regulatory works are involved in different Fintech activities. Our client is looking for a high calibre candidate to join as Senior Manager or Associate Director to take lead of supervision on Fintech activities.

Job Description

  • Identify potential issues that may affect the front and back office operations, compliance, KYC, cyber and data security and risk management to make sure they comply with HKMA, SFC regulations

  • Review Fintech activities and assessing their compliance status, including algorithmic trading, financial product investment and distribution platforms, like robo-advisers, financial platforms such as equity crowdfunding platforms, and use of new technologies to facilitate the delivery of regulatory obligations (i.e. RegTech).

  • Liaise with regulatory bodies on conducting on-site inspections on a broad range of regulated activities, some involving complex business operations, innovative products and advanced practices.

  • Handle licensing requirements and inquiries from SFC and related regulators.

  • Perform compliance checking and review

The Successful Applicant

  • University degree in Accounting & Finance, Economics, Business Administration, Law or related discipline
  • Minimum 8 years of compliance policies and governance experience in Securities firms on FinTech or Forensic Accounting
  • Familiar with regulatory licensing with solid knowledge on regulations of SFC, ICA or CSRC
  • Strong communication skills with forward thinking mindset and excellent command of spoken and written English and Chinese is required.

What's on Offer

  • Strong Compliance Culture with promising career prospect
  • Attractive package with work life balance
  • Central location

iKas International (Asia) Limited is providing recruitment services for this role.

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