Senior Compliance Manager – Securities recruitment
An exceptional opportunity has arisen to join this well regarded Securities firm as a Senior Compliance Manager in Hong Kong!
Our client has a strong presence in Asia and has been providing brokerage services in the region for over a long period of time. Due to continued business expansion in Asia, they are now looking for a Senior Compliance Manager to join this exciting team.
In this role you will be responsible for all general compliance and risk management affairs including sanctions surveillance, Type 1,4 and 9 licensing, trade surveillance, monitoring in Regulatory procedures, compliance review, regulatory report and advising the Senior Management in developing the Compliance systems. You will need to liaise and provide compliance advice to Senior Management of the business.
To be a successful candidate, you will have at least 4-6 years' compliance experience in a Securities firm and preferably with Securities Institute qualification but not essential. Candidates must have 3 years+ of management experience within a similar securities firm. You will have excellent communication skills to liaise with internal team members and external regulators.
For more information, please contact Jenny Yeung on +852 2973 6333 or e-mail jennyyeung@taylorroot.com.hk
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.
