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)

Please send full resume with present & expected salary to expedite sourcing in MS-WORD format by clicking “APPLY NOW”

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