MISSION

The Compliance Officer will play a critical role in supporting our mission to maintain a resilient and effective compliance framework that safeguards the organization while enabling sustainable growth in our precious metals trading operations.
Additionally, s/he will contribute to fostering a strong compliance culture across the organization, ensuring alignment with internal policies and regulations.

MAIN ACTIVITIES AND RESPONSIBILITIES

• Monitor regulatory requirements (AML laws, SFC Code of conduct, SFC licenses, etc.)
• Review of due diligence files at account opening, including conducting enhanced due diligence reviews
• Perform periodic and event-driven reviews and counterparty screening
• Support to the Front department and Operations for account opening and set up
• Respond to compliance-related inquiries from internal and external stakeholders
• Monitor transactions, identify high-risk activity, review clarifications, and handle FIU reporting
• Organize compliance training sessions
• Prepare compliance, AML and responsible sourcing third-party audit process.
• Investigate and respond to compliance breaches, ensuring corrective actions are implemented.
• Design and implement compliance policies, procedures, and programs.

REQUIRED EDUCATION AND EXPERIENCE

• Master’s degree in Business Administration, Finance, Economics, Law or a related field.
• Minimum of 5 years of experience in KYC, AML-CFT/sanction program compliance and financial regulation (SFC code of conduct), preferably within a commodities or banking environment. Responsible sourcing expertise is an advantage.
• Demonstrated experience in working with regulatory bodies and managing audits, investigations, and compliance programs.

QUALIFICATIONS AND SKILLS 

• Proficiency in English is required, with business-level proficiency in Cantonese. Additional languages are an advantage.
• Excellent communication and presentation skills with the ability to interact with senior stakeholders.
• Strong analytical and problem-solving skills.
• Ability to work under pressure in a fast-paced trading environment, to prioritize appropriately, and to work autonomously.
• Analytical skills, high attention to detail and accuracy in risk assessments.
• Expertise in project management
• Proactive and solution-oriented mindset.
• High degree of personal integrity and the ability to advocate for ethical behavior across the organization