Associate/Manager, Compliance

The duties of the Associate/Manager - Compliance officer will include providing regulations guidance and training, consultation of securities and futures trading laws, as well as timely update of relevant laws and regulations. It is also responsible for supervising the periodic self-assessment of legal compliance among all units.

• Provide compliance advisory support and guidance to back and front office regarding compliance with applicable laws, regulations and rules
• Conduct Compliance reviews and testing including trade surveillance, AML and BSC, and escalate any breaches of regulatory requirements or misconduct or company policies
• Develop compliance review programmes, self-assessment questionnaire and any other compliance programmes as may be required by Head of Department, front and back office, parent company, regulators and authorities
• Carry out any advisory, compliance tasks or projec...