Our Client is a well-known Chinese securities firm, and now they are looking for Compliance Director to join their team. 

Key Responsibilities

•       Overall supervision of compliance of all business activities, including brokerage, asset management, investment banking
•       Overall identification of compliance risks of all business activities, including brokerage, asset management, investment banking
•       Make recommendations concerning safeguard of compliance risks
•       Assist company in new products’ and businesses’ development, giving compliance advice
•       Maintain good relationship and communicate with regulatory bodies, including SFC and HKEX, etc.
•       Review all kinds of regular compliance reviews performed by department staffs

Requirements

•       Bachelor degree in Finance/ Law/ Accounting or related discipline(s) with a minimum of 8 years legal and compliance experience in a sizable financial institutional and/or regulatory body
• Legal background or knowledge is a must
•       Well-experienced gained in fund management with rich knowledge in securities laws, operations, products and services, and a sound understanding of current trends in investment banking operations and industry
•       Ability to work effectively in a highly confidential, fast-paced environment with fluctuating priorities and deadlines
•       Mandarin and English is a must, Cantonese is a plus