Compliance Manager

  • 3 Garden Rd, Central, Hong Kong
  • Full-time

Company Description

By joining Swissquote, you will become a member of the sector's leading company. You will be encouraged to develop your skills and to grow within teams of highly qualified specialists. We encourage personal development and actively support creative team work, leadership and responsibility.

Job Description

Swissquote Asia Limited is a wholly owned subsidiary of Swissquote Bank of Switzerland specializing in online forex trading for clients in over 120 countries worldwide.

We are looking for our Compliance Manager:

  • Provide compliance support to the local management and the Swissquote Group;
  • Develop, maintain and update internal procedures and controls to ensure compliance with applicable local, international and Swissquote Group’s regulations (e.g. account opening, KYC procedures, AML procedures, FATCA, solicitation guidelines, employee compliance guidelines, etc.);
  • Act as the Compliance Officer and the Money Laundering Reporting Officer;
  • Handle claims and litigations;
  • Perform review of marketing materials, calls and other forms of customer communications;
  • Handle SFC licensing and other matters, such as compliance regulatory filings;
  • Carry out regulatory surveillance and legal researches, and update the local management and the Swissquote Group on latest regulatory developments;
  • Liaise with outside counsel on regulatory and legal matters;
  • Provide periodic compliance training to local staff;

Qualifications

  • Degree or above in Law is a must;
  • Minimum 4 years relevant compliance experience in brokerage house, asset management house or compliance consulting company;
  • Sound knowledge of handling licensing related matters, drafting operation manual and conducting compliance review and monitoring exercise;
  • Solid experiences in handling inquiries and inspections from the regulators;
  • Proficiency in computer skills such as MS office including Word, Excel, Chinese Word processing;
  • Good command of both written and spoken English and Chinese;

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