Skip Navigation Links

Job Details

Vice President, Product Compliance, Securities Group, 1715

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

Our client is one of the leading Securities Group with strong presence in Hong Kong and Asia. Owing to rapid growth and expansion, they are seeking high caliber candidate to join them.

  • Update the Compliance policies & procedures and ensure the trading floor activities are regulatory compliance.
  • Keep update with the Hong Kong regulatory requirements, such as the Manager-In-Charge (MIC) compliance, Professional Investor Regime, Client Facilitations, Best Executions, OTC Derivatives reporting / clearing.
  • Keep update on the global regulatory development, such as FATCA, AEOI, MIFID II, Volcker Rule, etc.
  • Act as a contact point for developing new product related matters / National Product Catalogue (NPC)
  • Pro-actively involve in the cross-border activities regulatory compliance approval processes.
  • Handle Japanese regulatory regime, such as (MNPI, FW, COI, Mass holding, etc.

  • Degree in Risk, Law, Audit or relevant discipline, with formal training in Laws and auditing preferably. 
  • 8 years’ experience in Securities Firm or Financial Institution with SFC licence.
  • Good knowledge in SFC regulatory requirements, with experience in SFC and Japanese firms preferably.
  • In-dept knowledge of investment products, including FX products, Fixed Income products, OTC Derivatives products and other global market products.
  • Proficient in written and spoken English, Chinese and Japanese (Japanese a must)
  • Good communication skills and interpersonal skills

What’s On Offer

Excellent and competitive package.

Apply For The Job

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

(Personal data collected will be used for recruitment-related purposes only.)

Apply Now Back