Job ref no.: CT3118690-01#7741

Head of Compliance - Securities brokerage ( Typ1,2,4,6)

Asia Progress Executive Limited

Our client is Securities / Investment Banking To cope with the rapid business expansion they are now inviting high caliber candidates to join the team

 

Head of Compliance - Securities Brokerage 

 

Responsibilities:

  • Lead the compliance function to perform day-to-day compliance advisory duties and provide general Compliance advice and guidance across all business in Hong Kong.
  • Maintaining regulatory and exchange relationships, including dealing with queries, investigations, audits, formal regulatory enquiries from regulators, etc..
  • Assisting in response to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating, recommending the initiation of, and/or carrying out investigative procedures.
  • Identification of potential areas of compliance vulnerability and risk; developing/implementing corrective action plans for resolution of issues and advising on prevention of similar situations in the future.
  • Provides training to front office personnel on general regulatory matters such as the code of market conduct, sales practices as well as on other ad hoc regulatory matters.
  • Develop proper controls, policies and procedures to ensure the Company complies with internal and external legal and regulatory requirements 

 

Requirements:

  • University Degree or above
  • At least 5 – 8 years’ experience in compliance field from securities firm / investment bank.
  • Team management/leadership experience.
  • A problem solver with constructive solution
  • Strong interpersonal skills in handling relationships with the different parties of the company and regulator
  • Solid Investment Banking/Broker Dealer experience.
  • Thorough knowledge of the rules with the primary focus being the Hong Kong Regulator, the SFC.
  • Excellent command of written and spoken English and Chinese (Putonghua is a must)

 

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More job information
Job ref no. CT3118690-01#7741
Salary
  • N/A
Job Function
Industry
Location
  • Central
Employment Term
  • Full-time
Experience
  • 5 years - 10 years
Career Level
  • Senior management level
Education
  • Degree
  • Master's degree