VP / SVP - Compliance, Investment and Alternative Asset Management (Ref :JDB/IAAM/NS)

Haitong International Securities Group Limited

The Job Responsibilities:-

  • Provide compliance advisory services to the department and other functions in respective regulatory matters;
  • Establish and maintain adequate and effective systems of controls over the department’s operations;
  • Coordinate the various functional activities of the department including operations, risk management, client onboarding etc;
  • Ensure new products and business launching are in compliance in related rules and regulations;
  • Coordinate with group compliance to understand the latest updates on relevant rules and internal policies to ensure operation of department is in compliance with relevant law, rules and regulations;
  • Handle regulators’ inquiry, inspection and investigation (if any);
  • Take part in internal policy design and amendment, in particular operational control, compliance, sales and marketing to ensure the proper functioning of the various teams;
  • To carry out ad hoc projects from time to time to upgrade the standard procedure.

  • Degree holder in Law, Finance or other related disciplines
  • 6 years’ relevant compliance experience gained at financial institutions, asset management companies, PE firm or regulatory authorities
  • Familiar with SFO and SFC regulations and guidelines for type 4, 5 and 9 regulated activities
  • Good knowledge in alternative asset investment products
  • Strong analytical and excellent communication skills
  • Good command of English and Chinese (including Putonghua)
  • Good PC knowledge (MSWord, Excel, Powerpoint, etc.)

We provide attractive remuneration package and fringe benefits for the right candidate. Interested parties please send detailed resume with current and expected salaries to Human Resources Department i) by mail: 22/F, Li Po Chun Chambers, 189 Des Voeux Road Central, HK; ii) by fax: 2537 5431; iii) by getting application method through the Job Opportunities Section of our Corporate website: www.htisec.com ; or iv) by using "Apply Now".

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More job information
  • 5-day week
  • Discretionary bonus
  • Medical plan
Job Function
  • Central
Work Model
  • On-site / At the workplace
Employment Term
  • Permanent
  • Full-time
  • 6 years
Career Level
  • Middle management level
  • Degree