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Job Details

Director / Senior Manager, Compliance (Corporate Finance), Financial Institution, 1559

Date:19 Apr 2018Email this jobEmail this job
Location:Hong Kong
Hong Kong

Hong Kong Based * Permanent * Sizeable Corporation


Our client is one of the leading financial institutions with full service of investment Banking and Private Wealth Management offering a wide array of financial services. Owing to the rapid growth and expansion in Hong Kong, China and global markets, our client is looking for high calibre candidate to join their team.

  • Provide compliance advisory to support the investment banking business
  • Develop compliance related policies and procedures as well as proper internal control to ensure that Company's activities are in compliance with latest statutory and regulatory requirements
  • Liaise with regulatory bodies, exchange internal and/or external auditors
  • Review the testing and control procedures to ensure that the compliance monitoring is conducted effectively
  • Perform surveillance for trading activities;
  • Participate in new products launching procedure, providing day-to-day compliance advice to different business lines
  • Review and draft internal and/or external agreements
  • Review and approve client KYC / due diligence reports
  • Responsible for overseeing the KYC process
  • Handle ad hoc projects as assigned

  • Bachelor degree in Law, Accounting, Business, Finance or a related discipline
  • Over 5 years solid compliance experience, preferably in brokerage house / finance group
  • Familiar with the Securities and Futures Ordinance, SFC rules and regulations
  • Sound knowledge in investment products, fund setup and practices in FATCA are definitely advantageous
  • Confident, self-motivated, organized, detail-oriented and strong analytical skills
  • High proficiency in written English and Chinese, with verbal fluency in Mandarin


What’s On Offer

Excellent and competitive package.


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