Our client is one of the top tier brokerage in the Global Market.

Key Responsibilities:

• Provide practical advices to support the ongoing operations and future development of the businesses regarding applicable rules, regulations and regulatory expectations
• Establish and maintain Compliance policies and procedures to ensure business operations and practice are consistent with regulatory requirements
• Motivate and drive the business to establish appropriate internal procedures for ensuring business practices are in compliance with internal and external requirements
• Closely follow the development of relevant laws and regulations and provide analysis and highlights to senior Compliance management
• Ensure business staff and management to be updated with the latest regulatory and internal policy requirements by conducting workshops and ad hoc/routine training
• Review new business/product initiatives and provide compliance advices about suitability, licensing requirement, disclosure of interest (DOI) and appropriate booking model etc before the rollout of the new services
• Provide relevant and practical guidance about the design and publication of promotional and marketing materials
• Assist internal control functions to conduct independent review on the covered business by coordinating accesses to staff and information
• Closely monitor the business operations and report major developments and issues to fulfill internal and external compliance reporting obligations
• Liaise with regulators and exchange houses to answer regulatory inquiries and coordinate regulatory inspections
• Ad hoc tasks on request
  
  

Qualification:

• University degree or above from top ranked universities
• Minimum 5 years of experience in Business Advisory Compliance, Legal or regulators, with extensive exposure in brokerage and investment banking industry
• Well versed with relevant regulations and market practices
• Familiar with the Listing Rules of HKEX and QFII business (especially trading rules of PRC's exchange houses)
• Firsthand experience in interacting with regulators/exchanges and experience in project management
• Mature, thoughtful, strong analytical and problem solving skills with an aptitude for technology
• Proactive and strong team player with strong interpersonal, coordination and communication skills
• Bilingual with proficiency in both Chinese (Mandarin) and English
  
  

Apply Today

To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.

Founded in 1948, Robert Half pioneered specialised recruitment services and today is the world's leader in placing accounting, finance, banking and technology professionals on a temporary and permanent basis.

For more than 15 years, Robert Half has been named to FORTUNE® magazine's list of "Most Admired Companies." (March 1, 2016)

Visit our website for more job opportunities: www.roberthalf.com.hk/job-search