Head of Compliance, Hong Kong Team, Brokerage Business recruitment
- Team Management Role
- Expanding International Firm
- Attractive Base Salary + Bonuses
Our client is an International Brokerage House which has gone through significant growth in the last couple of years. Now with a stronger establishment in the Asia region, Asia is becoming the main hub and focus for its global business and support functions. Currently, the company is seeking an experienced Compliance professional to head the Hong Kong Compliance team.
Reporting to the Regional Head of Compliance, you will lead a small team of experienced Compliance professionals responsible for the Hong Kong businesses. You will oversee the team's activities and provide Compliance support on business / products related and country level matters. You will assist in developing compliance policies and procedures, staff training, new products advisory and be in charge of programs / systems to detect compliance violations. As a team leader, you will manage and build relationships with regulators and cooperate on inspections, investigations and any special queries.
To qualify, individuals must process:
- Minimum 10 to 12 years relevant experience in Compliance or Legal gained from Securities / Brokerage firms or Investment Banks
- Good familiarity to Hong Kong regulatory rules and standards (SFC, HKMA)
- Strong knowledge of brokerage business related products: futures, options, equities, FX
- Experience in team management and strong leadership skills
- Strong analytical and investigative mind-set
- Excellent communication skills with fluency in English
Contact Amy Ho on (852) 3101 3066 or APPLY NOW by clicking the button below quoting reference number AH18142 www.ambition.com.hk
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