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Job Details

ED/Director, Head of Compliance, Securities Group, 1707 Bank Street by Sloane Manhattan Not Specifi

Date:01 Feb 2019Email this jobEmail this job
Location:Hong Kong
Hong Kong

Our client is one of the leading financial institutions with full service of investment Banking offering a wide array of financial services to individual and corporate clients. 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 compliance functions, including product compliance, general compliance, reporting functions etc.
  • Establish compliance related policies and procedures for business units, annual reporting and internal audit
  • Lead on-site compliance reviews to validate compliance against established policies and procedures and develop recommendation for remedial action
  • Review, enhance, audit and maintain compliance programs
  • Coordinate with the product advisory team to carry out risk assessments and prioritize areas for review and establish an annual review plan
  • Ensure 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 10 years solid compliance experience, preferably in securities business / finance group with Japanese background
  • 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.


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