The Job:

• Analyze new laws and regulations identified from regulatory sources, prepare summaries of regulatory requirements and obligations, assign the relevant obligations to appropriate parties for implementation and track until closure
• Disseminate the communication, consultations, and surveys and other requests to the appropriate parties for handling and track the closure
• Coordinate the regulatory surveys / consultations for completion under time pressure
• Handling regulators' inquiry, inspection and investigation
• Involve in handling internal business compliance enquiries in relation to type 1, 2, 4, 5, 6 and 9 regulated activities
• Provide business units and management day to day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the Group is in compliance with the law, rules and regulations
• Conduct monitoring and surveillance activities including desk reviews and thematic reviews wherever appropriate for compliance with regulatory requirements
• Draft, revise, update and maintain compliance related policies and manuals at Group level
• Prepare ad-hoc and regular departmental reports
• Deliver in-house compliance trainings
• Other ad-hoc tasks assigned by supervisors

Requirements:

We support local hire with solid relevant working experience in HK.

• DegreeholderofLaw,Financeorotherrelated disciplines
• 7 years' relevant compliance experience gained at financial institutions or regulatory authorities
• Familiar with SFO and SFC regulations and guidelines for type 1, 2, 4, 5, 6 and 9 activities
• Strong analytical and communication skills
• Good command of English and Chinese including Putonghua
• Good PC knowledge in Excel and Powerpoint
• Less experience may be considered as Senior Manager

We are committed to build a team of competence individuals who have acquired relevant local solid working experience and with diversified exposure to work together with us. Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful.

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".

Please quote the reference in the application. If application is submitted in hard copy format, it should be placed in a sealed envelope marked “Confidential”. All applications will be treated in strict confidence and personal data provided by job applications will be used for recruitment purposes only. A copy of our Personal Information Collection Statement will be available upon request.

Haitong International Securities Group Limited (“Haitong International”: Stock Code: 665.HK) is a subsidiary of Haitong Securities Co., Ltd. (“Haitong Securities” Stock Code: 600837.SH; 6837.HK), one of the leading securities companies in China.

Haitong International is well-established to provide comprehensive and quality corporate finance, wealth management, asset management, fixed income, currency and commodities (FICC), institutional equities and a full spectrum of financial products and services to institutional clients and individual investors domestically and around the globe. As one of the most important overseas business platform of Haitong Securities, the Group strives to be a modern and comprehensive financial institution with leading position in the Greater China Region. 

The Company is led by a team of passionate and energetic professionals, we regard our staff the most treasurable asset and have been providing the best nurture and career prospect to any talents. We now invite high calibre candidates to join us.