- Take responsibility for the organization's Compliance framework and function.
- Lead a team to develop policies procedures, solutions and lead any remediation of compliance gaps to completion, including but not limited to AML, market surveillance, regulatory compliance, etc.
- Take ownership of regulatory matters for the business, working with global regulators on maintaining managing regulatory initiatives
- Proactively identify gaps in control environments and risk profiles for the business.
- Have a strong understanding of applicable regulations, industry standards and possible compliance issues in a financial services organization.
- Deploy programs, resources, tools and creative solutions to simplify the understanding of key compliance risks and create needed focus to mitigate/manage them.
- Regularly conduct environmental scans, canvassing internal and external sources to anticipate and stay informed of changes in the dynamic compliance and regulatory environment impacting the business.
- Contribute your thought leadership and collaboration to the Executive Committee and the broader compliance community.
- A relevant degree ideally in Law or Finance with over 15+ years of experience with a financial services organization.
- Prior regulatory experience from an Investment Banking/Sales and Trading environment is essential.
- Understanding of the crypto environment and recent developments of relevant rules and regulations
- Proven experience in dealing with regulators in the region, as well as establishing compliance framework is essential.
- Good understanding of AML legislations, data protection and regulatory needs in region is highly preferred.
- Excellent problem solving skills and ability to work in a fast paced, ever changing and growing organization required.
- Any prior knowledge or working experience from a Fintech business as big advantage.
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Head of Compliance – Digital Asset Exchange - Hong Kong, 香港 - The Edge Partnership
描述
Key responsibilities
Role requirements
