• Reputable Financial Institution
• New position due to business expansion
• Attractive Remuneration Package

The Role

Reporting to the Head of Compliance, you will be fully responsible for:

• Assisting the Head of Compliance in building and maintaining the compliance team
• Advising management and functional units on issues such as reviewing and commenting on new products, services and marketing materials and handling of compliance related client complaints
• Developing and implementing effective AML and CTF functions and systems
• Developing a compliance surveillance programmes and conducting compliance reviews and investigations
• Reviewing compliance policies and procedures and related guidelines and controls
• Liaising with regulators, auditors, business and functional units on relevant compliance matters
• Handling SFC enquiries and conduct related investigations
• Promoting compliance awareness and culture of the Group including development and delivery of compliance training programmes

The Successful Applicant

Suitable candidates must have a proven background in working in audit, compliance, risk and ethics. You will have a strong understanding of regulatory environments and be up to date with SFC codes,  HK Stock Exchange and MPFA rules and regulations.  You will need a broad industry appreciation for regulations within banks and financial services firms and  you will also have strong communication skills and the presence and gravitas to work with the senior management team in order to influence and win buy-in to new ideas and initiatives.   Candidates should have hands-on experience to businesses including asset management, brokerage and corporate finance.  Fluency in Chinese and English is a must for this position.

Contact Us

Please press the APPLY button or email your CV to Christy Lam at c.lam@alsrecruit.com quoting the reference for a confidential discussion.  For more Compliance positions, please visit our website (http://alsrecruit.com/) and contact us for details. (JD-10400)

Founded in 2002 with offices in Hong Kong, Singapore, Beijing and Shanghai, ALS International is a leading executive search firm specialising in the Financial Services, Legal, and Commerce sectors. Our consultants are industry experts and experienced recruitment professionals with strong global networks and extensive knowledge of the local market. We are dedicated to helping candidates to take their career forward.  

For further information, please visit our website at www.alsrecruit.com.