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Head of Compliance (Fast expanding securities firm $80k - $100k)

Conners Consulting Limited

  • Company Industries:Human Resources Management/Consultancy

Job Information

  • Post Date:2019-02-23
  • Career Level:Senior
  • Location:Central & Western Area
  • Qualification:Degree
  • Salary:Salary negotiable
  • Employment Type:Full Time, Permanent
  • Job Function:Corporate Finance  Equities / Capital Markets  Asset Management  

Job Description

Our client is a well-known and fast expanding securities firm and now looking for high calibre to join their group.

Responsibilities

  • Lead the compliance department to oversee compliance issues in relation to all regulated businesses
  • Advise management and suggest improvements in compliance issues and systems
  • Conduct compliance reviews on business activities and identify potential compliance risks of all business activities
  • Maintain good relationship and communicate with regulatory bodies, including SFC and HKEX
  • Report non-compliance issues and suggest resolution and improvement plan

  

Requirements

  • At least 10 years of Compliance/ Legal experience within the Investment Banking / securities industry.
  • Good understanding of the compliance issues involved in AML, SFC, KYC &Control Room.
  • Mature and independent individual
  • Excellent communication skills with ability to handle pressure
  • Proficiency in Mandarin and English is essential.

 

To apply, please send your detailed resume or contact Winnie Lai at 3618 8348 for a confidential discussion.

Only shortlisted candidates will be notified. 

Applicants who are not contacted within two weeks may consider their applications unsuccessful.

All data collected will be used for recruitment purpose only & will be used strictly confidential.

 

Conners Consulting Limited
2005 Kai Tak Commercial Building 317 Des Voeux Road Central Hong Kong
Tel: (852) 3996 8090
Website:
www.connersconsulting.com

Company Info

About Conners

Found in 2010 by a group of professionals with wide range of networks and extensive experience in the field. We are focus on searching talent for Banking, Finance & Insurance clients in the region. We are operating by a team of sector experts to providing clients with high quality professional recruitment services. We source and select the best talent for our clients, build up trust and match most suitable job for candidates, create long term relationship with both of our clients and candidates.

Website: http://www.connersconsulting.com

Employment Agency Licence No.: 63811

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