Compliance, Vice President, Brokerage and Securities recruitment
The Company
Are you an experienced Compliance Manager who is starting to wonder if it's the right time to make a career move? My client, a fun and dynamic international brokerage firm is currently seeking an experienced Compliance Manager to join their expanding team. You will be rewarded with a work/life balance, attractive package and be a part of a team environment.
The Role
- Report to the Head of Compliance;
- Maintain an effective compliance framework;
- Conduct periodic internal control testing to test the control framework;
- Assist in Identifying and mitigating key compliance risks;
- Advise management and relevant business units on all compliance-related matters/ issues.
- Design compliance surveillance programs and conduct compliance monitoring;
- Update and develop compliance policies and procedures to ensure compliance objectives are met;
- Liaise with regulators and auditors on compliance related issues;
- Review new products from compliance perspective;
- Assist to setting up compliance framework in accordance with HK regulations;
- Provide compliance training to staff; and
- Assist in ad-hoc projects as required
Your Profile
The successful candidate will be a degree holder in Law, Accounting, Finance or related discipline, with professional qualification is highly preferable. You must have minimum 5 years' post compliance working experience in legal and/or compliance in financial services industry. You will have strong interpersonal and communication skills. Fluency in English and Cantonese a must, ability to speak other languages is a plus.
Apply Today
Send your resume (in WORD format) by clicking the apply button now. Please note that only short-listed candidates will be contacted.