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Vice President, Compliance (Advisory)Everbright Sun Hung Kai Company Limited
Vice President, Compliance (Advisory)Everbright Sun Hung Kai Company Limited
Job Highlights
  • Advise on compliance-related matters & issues
  • Develop related policies, procedures & guidelines
  • Liaise with relevant parties on compliance matters
Job Description

Ref: VP/C/250319DB/51

 

Responsibilities

  • Advise management and relevant business units on compliance-related matters/ issue, including the review of new products/ services from a compliance perspective
  • Develop policies and procedures and related guidelines; review and comment on P&P, marketing materials, advertisements, etc. prepared by other departments/ business units, to promote compliance with applicable legal and regulatory requirements
  • Liaise with management, business, operations and other relevant departments, auditors and regulatory authorities on compliance matters and issues.
  • Perform follow-up reviews to verify the implementation of recommendations from regulators, external and internal auditors, assist to resolve compliance-related findings and issues identified
  • Keep abreast of the latest legal and regulatory requirements and promote compliance awareness and culture of the Group including preparation of training materials and delivery of compliance trainings
  • Design compliance surveillance programs and conduct compliance monitoring and reviews on products and business units under the VP’s responsibility area.
  • Handle ad-hoc investigations, customer complaints, suspicious transactions reviews etc.
  • Report any non-compliance in accordance with protocols and suggest actions for resolution, compliance improvement planning etc.
  • Lead the Compliance Advisory team to handle CIB, MPFA and Bullion registration matters

 

Requirements

  • Degree holder in Accounting, Business, Law or related discipline
  • Minimum 7 years’ solid experience in compliance, audit or related field in the financial services sector or regulatory authorities
  • Experience in performing compliance or similar training, development of policies and procedures (and related guidelines) and the conduct of compliance review and investigations
  • Good knowledge of the Securities and Futures Ordinance and its subsidiary regulations
  • Strong ethics, integrity and enthusiasm with good leadership, communications, interpersonal, analytical and presentation skills
  • Good command of both written and spoken English and Chinese

 

 

We offer a competitive remuneration package to the right candidate. If you are interested in the post, please send your resume together with your present and expected salaries by clicking “Apply Now”. 

For more information about Everbright Sun Hung Kai Company Limited, please visit www.ebshk.com.

We are an equal opportunity employer and welcome applications from all qualified candidates. All applications will be treated in the strictest confidence. Personal data provided will be used for recruitment purposes only. The job applicant will assume all or any risks arising out of or in connection with the job application transmission process prior to our actual receipt of the same including but not limited to accidental or unauthorized loss or disclosure of personal information, to which we will not be responsible in any way.

Under the Personal Data (Privacy) Ordinance, you may request access to, and / or correction of your personal data in relation to your application. If you wish to do so, please email to us.

Additional Information
Years of Experience
7 years
Employment Type
Full Time, Permanent
Benefits
Dental insurance, Five-day work week, Life insurance, Medical insurance, Performance bonus
Company details

At Everbright Sun Hung Kai, we serve with professional integrity. More than a claim, this describes the way we do business. A subsidiary of Everbright Securities Company Limited (SSE: 601788, HKEX: 6178), with Sun Hung Kai & Co Limited (HKEX: 86) as its substantial shareholder, Everbright Sun Hung Kai offers a full-fledged financial platform that provides excellent cross-border and world-class financial products, and superior solutions for our clients. As one of the leading financial institutions with a solid foundation and history of excellence since 1969, Everbright Sun Hung Kai operates four core businesses, Wealth Management and Brokerage, Corporate Finance and Capital Markets, Asset Management, and Investment and Financing, serving individual, corporate and institutional clients in Hong Kong, Macau, Mainland China and the U.K.
 
Our all rounded product and service suite, and our solid track record of delivering a steady return on equity while being committed to staff development, present enormous prospects for talents.
 
Now an exciting opportunity has arisen for a high-calibre professional to join our dynamic team for a rewarding career:

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