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, brokerage and margin financing, investment management, fixed income, currency and commodities as well as leveraged and acquisition financing and equity derivative 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.
Compliance Manager - Brokerage
jobsDB Ref. JHK100003004920025
Employer Ref. JDB/SALES/CM
Identify and evaluate compliance risks of the operations and business activities for Brokerage business and provide alternative and compliance solutions
- Provide day to day regulatory advice and guidance on rules and internal policies including AML and its latest updates; review business processes and new initiatives 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, thematic reviews and AML compliance review 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 business unit
- Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
- Deliver in-house compliance training to the business unit and provide advice to the management
Degree holder in Law, Finance or other related disciplines
- 5-7 years of relevant hands-on compliance experience in Brokerage business
- Good understanding of HK AML rules and SFO
- Good command of written and spoken English and Chinese including fluency in 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; iii) by getting application method through the Job Opportunities Section of our Corporate website: www.htisec.com; or iv) by using "APPLY NOW".
Please quote the reference in the application. If application is submitted in hard copy format, it should be placed in a sealed envelope marked “Confidential”. All applications will be treated in strict confidence and personal data provided by job applications will be used for recruitment purposes only. A copy of our Personal Information Collection Statement will be available upon request.