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Gravitas Recruitment Group

Top Tier Securities - VP - Product Compliance

Gravitas Recruitment Group
HK$45,000 - 70,000 /month (negotiable)
Posted on 24 Jan 2020

Top Tier Securities - VP - Product Compliance

Gravitas Recruitment Group

Job Highlights

  • Compliance advisory (Equities, Fixed Income, OTC)
  • Regulatory inquiries and inspection
  • 5 years' compliance experience

Job Description

Our client is a subsidiary of a Top Tier Chinese Corporation with major business activities including Corporate Finance, Wealth Management, Asset Management, Equity, and Structured Finance. Due to consistent ongoing growth, they are now searching for an experienced candidate to join the compliance team.

The successful candidate will be supporting the compliance function in managing all regulatory enquiries from business and providing regulatory advice specific to stated products on a day-to-day basis. You will be part of the team to ensure the group is operating in line with laws and regulations.

Responsibilities

  • Handling compliance enquiries for type 1, 4, 6 and 9 regulated activities
  • Conduct regulatory advisory on FICC, Equities, SBL etc. to business and management
  • Handling regulators' inquiries and investigation
  • Perform monitoring and surveillance activities
  • Revise and update compliance policies and manuals
  • Coordinate compliance testing and trainings, and other ad-hoc tasks

Requirements

  • 5 years' compliance experience at FI or regulatory authorities
  • Good knowledge of SFO and SFC regulations for type 1, 4, 6 and 9 activities
  • Solid knowledge of Fixed Income, Currencies, Commodities, Equities, Structured Finance, OTC products
  • Good command of English and Chinese including basic Putonghua
  • Strong communication and analytical skills


What's On Offer

  • Mid-size company at a growing phase
  • Dynamic working environment & excellent career path
  • Offer attractive remuneration package and comprehensive fringe benefits

Contact: Ruby So

For an initial confidential discussion please contact Ruby So at +852 3907 0744. You can also email your most updated CV to [email protected]

Additional Information

Career Level
Middle
Qualification
Degree
Years of Experience
5 years
Employment Type
Full Time, Permanent

Company Overview

Gravitas Recruitment Group is a contingency search firm focused in the Banking & Insurance industry. We have specialists serving different aspects - Audit/Risk/Compliance/IT/Operations/Finance. With our special market niche practice strategy, we have established solid business partnership with many banks and financial institutions in Hong Kong and have placed more than a thousand caliber throughout the years.

Additional Company Information

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