(Fintech) Senior Compliance Officer - Capital Market

About the Company:

Our client stands as a leading Digital Wealth Advisor Platform, trusted by tens of thousands of individuals and institutions in achieving their financial aspirations. With an experienced team boasting over 18 years in the realm of investment advice, we take pride in offering meticulously curated wealth management products that align with the financial needs of our clients. Our investment advisors are seasoned professionals, licensed and devoted to assisting our clients in navigating their financial journey towards reaching their goals. Recognized as a secure, legal, and officially licensed platform, our company holds the APERD License, Investment Advisor & Level 2 Securities Broker-Dealer Marketing Partner License, and is monitored by the Financial Services Authority & Ministry of Communication and Information Technology. We champion the fusion of technology and experienced advisement, believing firmly in their synergy to deliver optimal investment outcomes. By leveraging this cutting-edge technology, we are equipped to provide efficient, personalized advice, empowering our clients to make informed, data-driven financial decisions.

Join our dynamic team as a Senior Compliance Officer for the Capital Market segment. Play a pivotal role in ensuring the company maintains the highest standards of regulatory compliance, helping us avoid potential missteps that could lead to financial, legal, or reputational damage. This role not only ensures compliance but also shapes the company's future by integrating compliance into our strategy and operations.

Key Responsibilities:

• Serve as the company's primary contact with regulatory entities.
• Conduct training sessions and inform management and employees about compliance-related matters.
• Prepare and submit appropriate compliance reports to regulatory bodies in a timely manner.
• Ensure all policies and procedures align with and are complied with regulatory standards.
• Lead and manage internal reviews to guarantee adherence to our standard procedures.
• Evaluate business activities such as investments to identify any compliance risks.
• Continuously keep abreast with prevailing regulatory requirements within the capital market.

Qualifications:

• Minimum of 5 years of experience in a Compliance role within the capital market.
• In-depth knowledge of the capital market industry and its regulatory framework.
• A Degree in Law or a strong foundation in legal knowledge is preferable.
• Experience in assessing and preparing company compliance reports for regulatory audits.
• Proven experience in either reviewing or building a company's compliance framework.
• Familiarity with capital market products and their applicable regulations.

Non-Technical Skills:

• A natural team player, fostering a collaborative working environment.
• Unwavering ethical standards and integrity.
• Exceptional organizational and time-management capabilities.
• An eye for detail – meticulousness is a must.
• Outstanding interpersonal and communication abilities.