Vice President, Compliance, International Brokerage House, 90k+/mth recruitment
The Company
Our client is a Global Brokerage firm with strong presence in Asia. Due to the rapid growth in the region, they are looking for a Vice President in Compliance to be a keen member in the compliance function.
The Role
Reporting to the Head of Compliance, you will be responsible for the following duties -
- Responsible for formulating strategies, reviewing and establishing compliance policies and guidelines and developing and implementing regular compliance plans
- Designs compliance surveillance programs and anti-money laundering ("AML") monitoring functions and conduct compliance monitoring/ reviews and ad-hoc investigations
- Advises business units on compliance-related issues arising from local regulators
- Liaises with regulators, auditors, business and functional units on compliance issues on the latest legal and regulatory requirements
- Promotes general compliance awareness and culture of the Group including development and delivery of compliance training programs
Your Profile
To be successful in this role you will have a minimum of 6 years compliance experience preferably in securities firm or financial services environment. You will hold a degree in Accounting, Finance, Law or any related disciplines; sound knowledge of (i) the Securities and Futures Ordinance and subsidiary Rules; (ii) SFC Codes, Guidelines, etc.; and (iii) SEHK and HKFE Rules Regulations; and excellent written and verbal English and Chinese communication skills.
Apply Today
Send your resume (in WORD format) by clicking the apply button now. Please note that only short-listed candidates will be contacted.