Ro - Compliance

Compliance: •<div><br><div>Act as RO for SFC regulations,role as compliance manager</div><div><br></div><div>Compliance Advisory: Provide practical compliance advice to business departments and management on regulated activities of Type 1, 4, and 9.</div><div>• Compliance Monitoring: Conduct relevant monitoring activities, such as staff personal trading surveillance,</div><div>account opening reviews, and restriction and watchlist management.</div><div>• Compliance Training: Assist in providing compliance training, monitor CPT, and prepare regulatory newsletter to share regulatory enforcement cases and introduce the latest laws, regulations, and guidelines.</div><div>• Anti-Money Laundering (AML) Compliance: Conduct AML screenings, including customer due diligence, monitoring and investigating suspected money laundering and terrorist financing activities.</div><div>• Licensing and Regulatory Reporting: Manage licensing applications and various types of notification and submissions, such as BRMQ, annual return, FATCA, and CRS reporting and etc.</div><div>• Liaison with Regulatory Authorities: Maintain good communication with SFC, Companies Registry, HKEx, and Cayman regulatory authorities to handle relevant inquiries and inspections.</div></div>