The Job :

• Identify and evaluate compliance risks of the operations and business activities for one of the respective business units namely Asset Management / Fixed Income, Commodities and Currency / Equities & Derivatives / Cash Equities / Retail Brokerage, Leveraged & Acquisition Finance & Private Wealth Management
• Provide day to day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the business unit in compliance with the law, rules and regulations
• Review business processes and new initiatives put forward by the business units to ensure compliance with regulatory requirements
• Partner with other Legal team on assessing and measuring compliance and related risks, and developing common standards and practices.
• Conduct monitoring activities including desk reviews and thematic reviews wherever appropriate for compliance with regulatory requirements
• Draft, revise, update and maintain Compliance policies and manuals of the business units as necessary on ongoing basis
• Review, enhance and develop the compliance programs, procedures and guidelines for the respective business unit
• Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
• Deliver in-house compliance training to the business unit and advice to the management

 Requirements: 

• Degree holder of Laws, Finance or other related disciplines
• 5 years’ relevant compliance experience covering one of the respective business units namely Asset Management / Fixed Income, Commodities and Currency / Equities & Derivatives / Cash Equities / Retail Brokerage, Leveraged & Acquisition Finance & Private Wealth Management
• Candidate with the respective business experience and willing to change the career development focus to compliance / with general compliance experience but interested in broadening the exposure to business compliance will also be considered; regional/global exposure in financial institution is a plus
• Good command of written and spoken English and Chinese including Putonghua

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; or iii) by e-mail: hrd@htisec.com.

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.