Compliance Director/Associate Director, Investment Bank

Job responsibilities

• Manage and identify Compliance matter related to SFC business.
• Responsible for efficiency and effectiveness evaluation and improvement and ensure current activities are in compliance with internal guidelines and external regulations.
• Revise general operation's policies and procedures of company's compliance program
• Monitor and coordinate other departments to make sure compliance of business activities to keep the status of all compliance activities and to identify trends.
• Work with relevant frontline or mid/back departments to direct compliance issues to appropriate existing channels for investigation and resolution.
• Handle AML issues

Requirements

• Bachelor's degree holder majoring in Law, Finance or any other related disciplines with at least 7 years solid working experience in financial services company
• Familiar with HKSFC Licensing regulations, codes, guidelines and reporting requirements.
• Sound knowledge in investment products, funds and structures
• Good interpersonal skills with good communications skills & team spirits
• Multilingual / Multicultural working environment

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