HEAD OF COMPLIANCE
RESPONSIBILITIES
To lead the whole compliance department to oversee compliance issues in relation to all regulated businesses.
To advise management of important compliance issues, organize internal compliance trainings, plan and conduct compliance reviews on business activities, suggest improvements in compliance systems.
Overall supervision of compliance and identification of compliance risks of all business activities, including brokerage, investment banking and asset management
Make recommendations concerning safeguard of compliance risks
Assist company in new products’ and businesses’ development, giving compliance advice and respond to business units’ enquiries
Maintain good relationship and communicate with regulatory bodies, including SFC and HKEX, etc.
Monitor the work quality and review all kinds of regular compliance reviews performed by department staff. Organize department staff’s division of specialization
Perform ad hoc compliance investigations. Draw up various compliance plans, training materials, including CPT material, internal compliance notices, etc.
REQUIREMENTS
Bachelor degree in Accountancy; HKICPA, ACCA
Minimum 15 years’ experience in compliance and internal audit in the financial industry
Strong knowledge in investment banking, authorized and private funds, brokerage
Strong accounting, audit, and legal knowledge in investment banking, authorized and private funds, brokerage
Good negotiation skills with regulators
Team management, project management skills, and strong analytical mind are essential
Fluent in Mandarin, English, Cantonese
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