Job Duties :

• Provide compliance coverage for the Group’s Equity /Derivatives business, namely Retail Structured Products, Listed and OTC Derivatives, market making activities (warrants, stock options and/or ETFs) as well as other areas such as Prime Brokerage as needed；
• Provide advice on regulatory interpretation and compliance issues；
• Review manuals and Compliance Notices to ensure they are properly revised or updated when necessary. Draft new manuals, Compliance Notices, policies and procedures in light of regulatory or business change；
• Review and lead new business and infrastructure initiatives from a local and international regulatory, best practice and Firm perspective；
• Other related duties and ad hoc assignments when requires.
  

 Requirements :

• University graduate or equivalent degree preferred, ideally in business, accounting or law；
• Minimum 4 years of relevant work experience in the financial services industry in Compliance or internal audit and/or with a securities exchange or regulator；
• Sound working knowledge of Retail Structured Products, Listed and OTC Derivatives, and market making activities；
• In-depth knowledge of HK regulatory and compliance requirements；
• Sound judgment in identifying risks in order to proactively escalate to relevant senior managers；
• Good Command of English and Chinese，fluency in Mandarin is an advantage.

We offer attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present & expected salaries and date of availability to Human Resources & Administration Department by email.

All applications will be treated in the strictest confidence and personal data collected will be used for recruitment purpose only.

We are the fast expanding subsidiary of China Galaxy Securities Company Limited, a leading securities company established in the PRC. To cope with our business expansion, we are seeking high caliber candidates to join our team and grow with us: