business compliance vp - online brokerage in Hong Kong

posted
contact
joanne lo, randstad hong kong
job type
permanent
salary
HK$ 55,000 - HK$ 70,000 per month

job details

posted
location
hong kong
specialism
banking & financial services
job type
permanent
working hours
Full-Time
salary
HK$ 55,000 - HK$ 70,000 per month
reference number
91M0158307_1625747571
contact
joanne lo, randstad hong kong
phone
+852 2232 3408
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job description

about the company.

Our client is a fast-growing fintech securities brokerage company.

about the job.

  • Review and provide advice on compliance policies and procedures in ECM / DCM businesses
  • Communicate with senior management and department heads on regulatory compliance matters
  • Update and maintain compliance policies and keep abreast of new regulatory requirements
  • Modify control framework and business operation procedure to ensure compliance with legal and regulatory requirements
  • Assist ad hoc compliance projects as assigned

skills & experiences required

  • Bachelor's Degree in Law, Accounting or related disciplines
  • A minimum of 5 years compliance experience in financial institution, knowledge in ECM, DCM would be an advantage
  • Strong understanding of Hong Kong capital markets, ECM, DCM regulations
  • Good command in written and spoken Chinese and English

To apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk



skills

business compliance, securities, brokerage, SFC, compliance, Hong Kong, Financial Service, fintech, job, ECM, DCM

qualification

Bachelor's Degree in Law, Accounting or related disciplines
A minimum of 5 years compliance experience
Strong understanding of Hong Kong capital markets, ECM, DCM regulations

responsibilities

Business Compliance VP - Fintech Online Brokerage

educational requirements

Bachelor Degree