Compliance Manager - Global Digital Asset Company
Company Description
The hiring company is a global digital asset company.
Key Responsibilities
- Ensure compliance with all applicable laws and regulatory requirements locally.
- Develop and implement compliance policies and procedures, compliance manuals and other relevant documents for the local entity to meet the requirements of SFC.
- Conduct relevant local regular reporting, notification, application to regulatory authorities accordingly.
- Assess emerging issues and risks and promptly escalate issues to CEO and Group Compliance.
- Report compliance activities and audits to HK Compliance and the Board.
- Ensure appropriate corrective actions are taken for deficiencies in the CMS and/or non-compliance.
- Develop, implement and maintain an up-to-date AML/CFT policy that complies with applicable regulations.
- Conduct regular risk assessments to identify and mitigate money laundering and terrorism financing risks.
- Ensure timely and accurate reporting of suspicious activities to relevant authorities.
- Carry out and ensure the implementation of customer due diligence (CDD) and enhanced due diligence (EDD) procedures.
- Conduct KYT due diligence reviews in a timely manner and suggest potential action points. Maintain comprehensive records of all AML/CFT activities and reports.
- Provide regular compliance training to staff.
- Liaise with regulatory bodies and law enforcement agencies regarding compliance matters.
- Other Adhoc tasks assigned by HK and Group Compliance.
Requirements
- At least 5 years experience in Compliance functions in SFC licensed corporations within the financial services sector (KYC/KYB/KYT experience in Fintech or blockchain related industry would be deemed an advantage).
- Knowledge and understanding of financial services regulations, compliance, policies, processes and procedure.
- Knowledge and experience of licensing of SFC would be deemed an advantage.
- Proficiency in compliance applications and programmes for transaction monitoring and KYT etc.
- Interest in blockchain and digital assets, and willingness to work with other teams in a highly collaborative start-up fintech environment.
- Well organised, detail oriented, presentable and with excellent communication skills (both verbal and written) in English (Proficency in Mandarin would be deemed an advantage for internal communication).
- Problem solving, time management, analytical, and investigative skills.
- Professional qualifications pertinent to the financial services sector (ACAMS, or equivalent AML certification).
- Demonstrated ability to analyse complex regulatory requirements and implement practical solutions.
- Exceptional communication and stakeholder management skills.
- Be open to performing other responsibilities associated with the position.
Application options
- If you're interested in this role, click 'Apply' now. For further information and a confidential discussion, you can email Winston Tse at
Originally posted on