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Job Details

Head of Compliance, Financial Institution, 1656

Date:07 Sep 2018Email this jobEmail this job
Location:Hong Kong
Hong Kong

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 caliber candidate to join their team.

  • Oversee the central compliance functions, including staff training, CPT monitoring, reporting functions etc.)
  • Review, enhance, audit and maintain compliance programs
  • 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
  • Provide compliance advice to different business units

  • Bachelor degree in Law, Accounting, Business, Finance or a related discipline
  • Over 8 years solid compliance experience, preferably in securities business / finance group
  • Familiar with the Securities and Futures Ordinance, SFC rules and regulations
  • 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.

Apply For The Job

For interest parties, please apply through system, attaching your updated C.V. in WORD format indicating your present, expected salary and availability. Only short-listed candidates will be notified.

(All information gathered will be treated in strict confidence and solely used for recruitment purposes.)

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