Compliance Manager

uSMART盈立證券是香港新一代互聯網券商，通過技術創新和人工智能科技為投資者提供簡單，專業和低成本的全球投資服務。 uSMART盈立證券是香港持牌券商（中央編號：BJA907），持有香港證監會授予的1、2、4、5、6 、9號牌照，是香港證監會認可的全牌照優質券商，致力遵循香港金融法規保障投資者資產安全。 uSMART盈立證券的核心管理及金融科技團隊成員來自世界知名科技企業巨頭和知名金融機構，包括騰訊、阿里巴巴、微軟、雅虎、優步、法国巴黎银行、瑞士银行等。 uSMART盈立證券結合自身領先的人工智能和機器學習演算法为用户開發新一代移動證券交易APP (uSMART盈立智投)，進一步優化投資者買賣證券的體驗，為投資者爭取獲得更佳回報機會。 uSMART Securities is a new generation of Internet brokers in Hong Kong that provides investors with simple, professional and low-cost global investment services through technological innovation and artificial intelligence technology. uSMART Securities (CE no. BJA907) is licensed under The Securities and Futures Ordinance (Chapter 571), and allowed to carry on Type 1, 2, 4, 5, 6 & 9 regulated activities. We are committed to complying with Financial Services Compliance to safeguard investor asset and to provide excellent service. uSMART Securities' core management and financial technology team members come from world-renowned technology giants and well-known financial institutions, including Tencent, Alibaba, Microsoft, Yahoo, Uber, BNP Paribas, Swiss Bank, etc. uSMART Securities combines its leading artificial intelligence and machine learning algorithms to develop a new generation of mobile securities trading APP (uSMART) for investors, further optimizing the users’ experience of securities trading and help seek for better returns. Job Responsibilities
• Provide AML/CFT compliance advisory to business units
• Conduct investigation triggered by system alerts (including but not limited to alerts flagged by blockchain analytic tools), cases referred by internal and external sources and thematic review
• Ensure suspicious transactions are thoroughly investigated and Suspicious Transaction Reports (STRs) are filed to JFIU in a timely manner
• Assist in the development, review, and enhancement of the firm's AML/CFT system and controls.
• Assist in handling regulatory queries and handling SFC inspections or reviews
• Keep track of regulatory developments (including AMLO, SFC guidelines, and FATF standards) and evaluate their impact on the firm
• Undertake other ad-hoc tasks assigned by the Head of Compliance Job Requirements
• Bachelor's degree or above in Law, Finance, Accounting, Business, or a related discipline
• Minimum 5 years of AML/CFT compliance experience in financial institutions
• Hands-on experience in conducting transaction monitoring relating to virtual assets including but not limited to screening of virtual asset transactions and wallet addresses using blockchain analytic tools.
• Solid knowledge of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO), SFO, SFC guidelines, virtual assets and blockchain
• Professional qualifications such as CAMS / AAMLP / CAMLP preferred
• Strong analytical skills, sound judgment, and the ability to work independently
• Strong command of both written and spoken Chinese (Cantonese and Mandarin) and English

We offer
attractive remuneration package to the right candidates. Interested parties please send your current and expected salary by email. Data collected will be used for recruitment purpose only.