Junior Compliance Officer

• Due Diligence: Conduct thorough analysis of financials, legal documents, and regulatory filings related to acquisitions, partnerships, and investments within the CFD and broader financial services sectors.
• Risk Assessment: Identify and evaluate compliance, financial, and third-party risks to ensure alignment with the company’s risk tolerance and regulatory obligations.
• Third-Party Risk Management: Monitor and assess vendor and partner relationships for reputational, operational, and regulatory risks, ensuring continued adherence to contractual and compliance requirements.
• Regulatory Research: Track and interpret regulatory developments in financial markets to inform due diligence strategies and ensure ongoing compliance.
• Reporting: Prepare clear, actionable due diligence reports that highlight key findings, risk factors, and recommended mitigations for senior decision-makers.
• Cross-Functional Collaboration: Coordinate with internal teams—including Legal, Risk, Finance, and Operations—to gather information and ensure a holistic review process.
• Policy Compliance: Ensure all due diligence activities comply with internal policies and applicable regulatory standards, particularly regarding third-party engagements.
• Process Enhancement: Proactively improve due diligence frameworks by integrating evolving industry standards, regulatory updates, and risk management best practices.
• Stakeholder Communication: Present findings and risk assessments effectively to management and relevant stakeholders, supporting informed decision-making.
• Ad-Hoc Support: Perform compliance-related tasks as required, with a focus on due diligence and regulatory risk management.

• Bachelor’s degree in Law, Finance, or related field; advanced degree preferred.
• At least 2 years of experience in compliance, legal, due diligence, or audit roles within financial services.
• Strong knowledge of regulatory frameworks (e.g. MiFID, MiCA, AFM, SEC).
• Proven experience in due diligence, risk assessment, auditing, and regulatory research.
• Ability to analyze financial statements and assess third-party risk.
• Bilingual in English and Chinese (preferred).
• Excellent analytical, communication, and report-writing skills.
• Strong collaboration skills and ability to work across teams.
• Organized, detail-oriented, and able to manage multiple priorities.

• Competitive salary and performance-based bonuses.
• Opportunities for career growth and development within a global company.
• Collaborative and inclusive work environment with exposure to cross-region operations.
• Health and wellness benefits.
• Flexible working arrangements.

TMGM