As a leading investment bank in China and Hong Kong region, the investment banking arm of Bank of China, BOC International Holdings Limited (“BOCI”), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career for supporting our capital market business.
Director, Equity Compliance
jobsDB Ref. JHK100003004995315
This incumbent is reporting to Head of Equity Compliance and works with a team of 5.
- Develop and implement compliance policy and review program covering our equities, structured products and global commodities and futures businesses with particular emphasis on the compliance with the SFC’s rules and regulations on Code of Conduct and suitability obligations;
- Provide compliance guidance, conduct training and make recommendations for improvement areas to minimize compliance risk;
- Advise business and functional units on relevant compliance related matters such as reviewing new products/services and marketing materials;
- Participate in new product development and undertake projects when necessary;
- Perform regular review to identify compliance problems and cases of possible non-compliance with internal and external rules and regulations;
- Liaise with regulators, auditors, business and functional units on compliance issues/matters; and
- Such other duties as shall from time to time be directed by your superiors
- Minimum 10 years of compliance/ relevant experience in multi-national corporation or regulatory bodies
- Sound knowledge of the Securities and Futures Ordinance and its subsidiaries regulations as well as rules and regulations of the Hong Kong Stock Exchange and Hong Kong Futures Exchange
- Good advisory and communication skills
- Excellent command of both written and spoken English and Chinese, ability to communicate in Mandarin preferred
Please apply in strict confidence with full resume, academic record, current and expected salaries.
Please quote the applied position & reference number in the subject.
(The personal data provided will be used for consideration of recruitment only. All personal data of
unsuccessful candidatee will be destroyed within six months.)