Posted on: 2019-03-18

Job type: Permanent

Sector: Financial Services

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Our client is a leading securities and financial firm and they are looking to hiring a Deputy head to join their Compliance team.

The Role:

* Assist the head to lead the compliance function to perform daily compliance advisory duties and provide professional Compliance advice and guidance across all business in Hong Kong.
* Maintain good regulatory and exchange relationships, including handling queries, investigations, audits, formal regulatory enquiries from regulators, etc.
* Assist regarding alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating, recommending the initiation of, and/or carrying out investigative procedures.
* Identify potential areas with risky and vulnerable compliance; planning/implementing corrective action plans to rectify issues and providing advice on preventing similar situations in the future.
* Provides training to front office personnel on general regulatory matters such as the code of market conduct, sales practices as well as on other ad hoc regulatory matters.
* Develop proper controls, policies and procedures to ensure the Company complies with internal and external legal and regulatory requirements


* Team management/leadership and solid investment Banking/Broker Dealer experience
* Excellent problem-solving skills; able to provide constructive compliance advice
* Well-developed interpersonal skills to handle relationships with the different parties of the company and regulator
* Rich knowledge on the rules with the primary focus being the Hong Kong Regulator, the SFC
* Candidate with less experience will be considered for a comparable grade


* Attractive Salary Package + Bonus
* Excellent career growth opportunities

To apply please click on the "Apply" button or contact Steven at quoting ref no. HK147855 for a confidential discussion. Your interest will be treated in strict confidence.
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Reference: HK147855

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