Posted on: 22/06/2017

Job type: Permanent

Sector: Financial Services

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Our client is a leading securities firm in Asia. They are currently recruiting a compliance expert to lead their compliance team.


* Acts as an independent review and evaluation body to ensure that compliance issues/concerns within the company are being appropriately evaluated, investigated and resolved.
* Conduct compliance review regularly ( money laundering, account opening due diligence documentation, marketing process)
* To lead the compliance staff to develop and review internal policies and procedures
* To conduct compliance monitoring review of various functions and activities as well as providing internal training to staff
* To establish a compliance culture and compliance monitoring framework
* Maintain good relationship with related regulatory bodies
* Handle regulator enquires and client complaints and maintain full set of compliance record


* Degree holder in Laws or related disciplines
* Minimum 7 years of legal/compliance experience gained from sizeable financial institutions, worked in securities firm is highly preferred
* Good knowledge of Listing Rules, SFO requirements and other compliance regulations
* Familiar with SFC regulations and other relevant legal and regulatory requirements
* Strong leadership qualities, good presentation and report writing skills
* Reliable with high integrity and responsibility, strong commercial sense and meticulous with good inter-personal skill
* Excellent written and verbal command of English and Chinese, fluency in Mandarin is a must

To apply please click on the "Apply" button or contact Phoebe Pong at +852 2919 6248 for a confidential discussion. Alternatively, email your resume to quoting ref no. HK122295. Your interest will be treated in strict confidence.
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