Posted on: 15/06/2017

Job type: Permanent

Sector: Financial Services

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Our client is a leading securities firm in Asia. They are currently recruiting an expert who is experienced in the compliance field.


* Establish and carry out all compliance functions to ensure the company adhere to relevant legal and regulatory requirements
* Provide advice on compliance issues and potential impact of regulatory trends and developments for securities services
* Recommend and advise business line managers to implement adequate procedures and controls to comply with all applicable regulations, laws and codes
* Provide advice on the applications of compliance rules and policies to support business activities in Hong Kong
* Assist in drafting and/or reviewing policies and procedures, checking plan, programmes, checklists and reports
* Provide Compliance training to the staff with regards to rules and regulations as well as standards of conduct


* Degree holder in Finance, Accounting, Business, Economics or other related disciplines, legal background is highly preferred
* Familiar with local regulatory and compliance requirements is preferred
* Minimum 4 years compliance or legal experience in a sizable financial institutional and/or regulatory bodies, preferably with Securities and Futures Products experience is higher preferred
* Good knowledge in securities laws, operations, products and services
* Good command of spoken and written Mandarin, English and Cantonese

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. HK122297 . Your interest will be treated in strict confidence.
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