Job ref no.: CT3115413-01#7326

Vice President, Compliance

China Securities (International) Finance Holding Company Limited

  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Insurance plan
  • Medical plan

Job Purpose

  • This role is reporting to Head of Legal and Compliance, assist in the implementation of compliance program as required to support Asset Management, FICC and other secondary market activities.
  • Looking for high potential candidate on managing evolving business needs and regulatory challenges


Key Responsibilities

  • Establish and maintain effective compliance program (including but not limited to policies and procedures) to ensure compliance with the applicable regulatory requirements
  • Provide practical and effective advices to business functions, ensuring the compliance of relevant rules and regulations in order to strengthen Company’s governance
  • To identify and evaluate risks of the operations and business activities of Asset Management (favorable if have understanding on Equities and Fixed Income business)
  • Timely communicate with relevant regulators (e.g. SFC, HKEX) and management on any material issues or findings and provide solutions to properly address the issue
  • Responsible for Company compliance monitoring (e.g. trade surveillance, fact finding), testing and internal reviews
  • Establish training programs including the circulation of new/update regulatory requirements
  • Liaise with regulators and auditors, handling queries and requests



  • Degree holder in Law, Accounting, Finance or related discipline(s).
  • Minimum 5 years of compliance experience in a sizable investment banking and/or regulatory bodies.
  • Good knowledge in securities regulations, operations, financial products and services.
  • Self-motivated, independent and pleasant personality with good communication skills at all levels.
  • Demonstrate problem solving and analytical ability
  • Good command of written and spoken English and Chinese (including Mandarin)


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More job information
Job ref no. CT3115413-01#7326
  • N/A
Job Function
Employment Term
  • Full-time
  • 5 years - 10 years
Career Level
  • Middle management level
  • Degree