Our client is a listed financial group with global business presence. To cope with their business strategy, they are now inviting the Head of Compliance to join the Hong Kong office.
- Supervise and support all licensed activities (SFC Type 6 and 9), perform day-to-day compliance advisory duties and provide general Compliance advice and guidance across all business in Hong Kong
- Oversee the compliance functions, including investment product compliance and general compliance, etc.
- Ensure proper internal control to ensure that Company's activities are in compliance with latest statutory and regulatory requirements
- Develop, update, review and provide inputs on compliance policies and guidelines, monitor the implementation of compliance policies and procedures, identifies gaps and recommends corrective actions
- Deal with SFC and HKEX for all regulatory correspondences and application cases
- Manage and keep tracking of CPD programs to comply with SFC requirements and offer internal education/ training classes to our staff
- Perform ad-hoc compliance related projects
- Bachelor degree or above in Law, Business, Finance or a related discipline
- Over 10 years solid compliance experience in compliance areas preferably in financial institutions
- Familiar with the Securities and Futures Ordinance, SFC rules and HKEX rules and regulations
- Good understanding on investment company operations and familiar with investment products
- Confident, self-motivated, organized, detail-oriented and strong analytical skills
- High proficiency in written English and Chinese, with verbal fluency in Mandarin
- Fluent in Chinese and English
Please send your updated cv by clicking apply now, to book a confidential meeting with our consultant.