Job ref no.: nw/AVP/2018
Harbridge Partners Limited

Assistant Vice President, Compliance

Harbridge Partners Limited

Our Client is one of the leading financial institutions with a solid foundation and history of excellence since 1969, they operates four core businesses, Wealth Management and Brokerage, Corporate Finance and Capital Markets, Asset Management, and Investment and Financing, serving individual, corporate and institutional clients in Hong Kong, Macau, Mainland China and the U.K. They are now looking for a Assistant Vice President for compliance department.

Jobs Duties

  • Assist the team head to provide regulatory advisory on securities, futures, mutual fund, bonds, structured products, etc to management, front office and functional units on relevant compliance-related matters/issues
  • Liaise with business and functional units, auditors and regulatory authorities on compliance related issues
  • Design / revise compliance surveillance programmes and conduct compliance reviews and ad-hoc investigations
  • Report non-compliance issues and suggest resolution and improvement plan
  • Develop, update and review compliance policies & procedures and related guidelines
  • Promote compliance awareness and culture of the Group including preparation of training materials and delivery of compliance training
  • Perform follow-up reviews to ensure recommendations from regulators, external auditors and internal auditors, to resolve compliance related findings / issues identified, are promptly addressed and properly implemented

Jobs Requirements

  • Degree holder in Accounting, Business, Law or related discipline
  • 5 years’ relevant experience, preferably in compliance, audit, accounting or related experience in the financial services industry or with regulatory authorities
  • Good knowledge of the Securities and Futures Ordinance and its subsidiary rules
  • Good knowledge of AML / KYC related laws, regulations, guidelines and practises
  • Organised, diligent and attentive to details, with a strong sense of responsibility
  • Good command of both written and spoken English and Chinese

For further information, please contact Natasha Wai at 2523 9955.

nw AT harbridgepartners dot com

More job information
Job ref no. nw/AVP/2018 (CT3111806-01#0195)
  • 55,000 - 70,000 / month
Job Function
  • Central
Employment Term
  • Permanent
  • Full-time
  • 5 years - 10 years
Career Level
  • Middle management level
  • Degree