Description

The Company

Our client is an institutional brokerage with strong presence in HK and well-rounded regulatory compliance exposure. As an important part of their Regulatory Compliance Team, they are now looking for a seasoned, committed, and motivated compliance professional to cover securities brokerage business (institutional).

The Role

As part of a growing HK Compliance Team, you will be reporting to the Chief Operation Officer, responsible for coordinating regulatory examinations (SFC), maintenance of compliance oversight programme, Code of Ethics, Data Privacy and training, KYC and AML review, and developing compliance policies & procedures. You will also be involved in varies compliance projects and new products approval process.

Your Profile

The successful candidate will be a degree holder in Law or Accounting, with a professional qualification is highly preferable. You will have at least 7 years of compliance experience in a brokerage securities environment, with solid experience in handling and liaising with local regulators, along with strong project management skills. You will possess excellent presentation and communication skills (Fluent Cantonese and English is a MUST) and an ability to deal with all levels of an organisation.