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Head of Compliance, Securities Group, 1707Bank Street by Sloane Manhattan
  • Not Specified
  • Salary provided
  • Posted on 15 May 2019
Head of Compliance, Securities Group, 1707Bank Street by Sloane Manhattan
Job Highlights
  • Degree in Law, Accounting, Business, Finance
  • 10 years compliance exp. in SFC requirements
  • Preferrably exp. in Jap. securities/ finance group
Job Description

Hong Kong Based * Permanent * Sizable Financial Institution

About Sloane HR Group

Sloane Asia Group ( is a global human resources company, with our global financial recruitment arm Bank Street by Sloane Manhattan (commonly referred as “Bank Street” recruiter) (, Sloane Outsourcing ( and Canary International Education ( (, we are collectively referred as Sloane HR Group(“Sloane” or “Sloane HR”).

About Our Client

Our client is one of the leading financial institutions with full service of investment Banking offering a wide array of financial services to individual and corporate clients. Owing to the rapid growth and expansion in Hong Kong, China and global markets, our client is looking for high caliber candidate to join their team.

Job Responsibilities:

  • Oversee the compliance functions, including product compliance, general compliance, reporting functions etc.
  • Establish compliance related policies and procedures for business units, annual reporting and internal audit
  • Lead on-site compliance reviews to validate compliance against established policies and procedures and develop recommendation for remedial action
  • Review, enhance, audit and maintain compliance programs
  • Coordinate with the product advisory team to carry out risk assessments and prioritize areas for review and establish an annual review plan
  • Ensure proper internal control to ensure that Company's activities are in compliance with latest statutory and regulatory requirements
  • Liaise with regulatory bodies, exchange internal and/or external auditors
  • Review the testing and control procedures to ensure that the compliance monitoring is conducted effectively
  • Provide compliance advice to different business units

Job Requirements:

  • Bachelor degree in Law, Accounting, Business, Finance or a related discipline
  • Over 10 years solid compliance experience, preferably in securities business / finance group with Japanese background
  • Familiar with the Securities and Futures Ordinance, SFC rules and regulations
  • Confident, self-motivated, organized, detail-oriented and strong analytical skills
  • High proficiency in written English and Chinese, with verbal fluency in Mandarin

What’s On Offer

Excellent and competitive package.

Apply For The Job

For interest parties, please CLICK HERE to apply directly to Sloane Manhattan, attaching your updated C.V. in WORD format indicating your present, expected salary and availability. Only short-listed candidates will be notified.

(All information gathered will be treated in strict confidence and solely used for recruitment purposes.)

Additional Information
Years of Experience
10 years
Employment Type
Full Time
Company details

About Sloane Asia Group and Sloane Manhattan Partners (Asia) Limited (collectively “Sloane”)

Sloane Asia Group ( is a leading human resources company, together Sloane Manhattan Partners (, Sloane Outsourcing ( are collectively named as Sloane HR Group (“Sloane”).  While the larger and holding Sloane Group (“Sloane Group”) ( which is an active investment of a private equity fund and operates under a group of companies focuses on consumer market in Asia.  Sloane Group comprise Sloane Manpower which have active presence in the financial market by its leading financial recruitment brand Bank Street by Sloane Manhattan ( and Sloane Outsourcing (; Sloane Education ( (; Sloane Property ( and Sloane Technology (represents by Sloane HR Technology Shenzhen).  Sloane Group’s client includes Fortune 500 and China Top 1000, and listed companies in the Asia Pacific region. Sloane Group celebrates its 10th anniversary in 2019.   For enquiry, please contact us at: [email protected] or (852) 2810 5088.