Compliance Officer/ Specialist (VATP)

Key Responsibilities Regulatory & Licensing Compliance - Support the MIC in overseeing all SFC-related VATP compliance obligations, including AML/CFT, transaction monitoring, and other regulatory requirements. - Assist in preparing regulatory submissions, responses, and reports to the SFC and other authorities. - Monitor regulatory developments and translate new rules or guidance into actionable internal policies and procedures. Policy, Governance & Internal Controls - Draft, review, and implement compliance policies, manuals, SOPs, and internal control frameworks to ensure they reflect the latest regulatory standards. - Work with cross-functional teams (operations, product, risk, IT, etc.) to enhance internal procedures and ensure proper execution of compliance controls. - Contribute to compliance-related training and awareness programs across the organization. Financial Crime Compliance - Conduct and oversee AML/CFT and transaction monitoring duties covering both fiat and virtual asset transactions. - Review alerts and investigate suspicious activities; prepare STRs and liaise with authorities when required. - Perform Enhanced Due Diligence (EDD) on high-risk clients and ongoing reviews of existing customers. - Analyze trends and typologies to strengthen monitoring rules, detection logic, and system effectiveness. Conduct & Employee Compliance - Provide guidance on employee compliance requirements, including personal account dealing and conflicts of interest. - Review and analyze staff personal trading activities to identify potential misconduct or breaches. - Support internal inquiries and compliance-related investigations. Projects & Platform Launch Support - Participate in special compliance projects, system implementations, and platform-readiness initiatives for the launch of the VATP. - Assist in evaluating surveillance and AML tools; support integration and testing (e.g., blockchain analytics, trade surveillance, sanctions screening). Key Requirements - Minimum 1 years of relevant experience in compliance, AML/CFT, or financial crime functions within securities firms or financial institutions; at least 1 years in virtual asset–related roles preferred. - Strong understanding of Hong Kong’s regulatory framework for VATPs, including SFC AML Guideline, VATP Licensing Handbook, and relevant circulars. - Professional qualifications such as ACAMS or equivalent are highly preferred. - Experience with blockchain analytics and surveillance tools (e.g., Elliptic, Solidus, Refinitiv, Eventus) is a plus. - Bachelor’s degree or equivalent professional experience. - Detail-oriented, self-motivated, and capable of working independently in a fast-paced, startup-like environment. - Excellent command of written and spoken English and Chinese.