We鈥檙e looking for a Compliance Officer Manager (Assets) - Hong Kong to strengthen our compliance team.
Based in Hong Kong, you will work with a growing team of multidisciplinary specialists across Product, Treasury, and Security to help build world class capital market products (Assets) in Hong Kong.
You will manage and strengthen the team's relationships with regulators by being the Regulator鈥檚 first point of contact for regulatory matters (i.e. Securities and Futures Commission (SFC)), keeping everybody informed and protecting our most valuable asset, our customers.
The Role is located in Hong Kong.
Your mission:
- Improve the compliance product in line with our mission to be instant, convenient, transparent and eventually free.
- Work with the Business Team to obtain (and maintain) the relevant Type 1 (Dealing in Securities) license under the Securities and Futures Ordinance (SFO) based on the SFC Licensing Handbook, including but not limited to: (i) regulatory liaison, (ii) regulatory reporting and filing, and be a champion of our compliance framework in audits.
- Maintain and manage effective compliance frameworks, policies and governance documentation including carrying out the compliance function pertaining to the Securities and Futures Ordinance (SFO), SFC Codes and Guidelines, and any other applicable law governing the regulated activities under the SFC.
- Develop systems to track and monitor our regulatory risk, compliance with regulatory requirements and internal policies.
- Work with teams to report management information to the Board so they are aware of the key risks.
- Educate teams about Hong Kong capital market regulatory requirements, and empower teams to build risk-based processes which are clearly documented.
- Scrutinise and test compliance programs and work with Operational teams to develop our risk based approach, provide constructive feedback and be responsible for resolutions.
- Adapt your focus on different compliance issues depending on growth plans and compliance needs.
- Work with global Product and Operational teams in Singapore, Europe and Tallinn, and travel to our operational offices.
This role will give you the opportunity to:
- Develop an in-depth knowledge of Wise鈥檚 business and get to know many teams across the company as you liaise with them to help them understand regulatory frameworks and bring together the information that our regulators need.
- Help keep compliance right at the heart of our product development by helping our regulator understand our mission, and through horizon-scanning for new regulatory developments to share with teams.