deputy head of compliance, securities firm in Hong Kong

posted
contact
nicole hui, randstad hong kong
job type
permanent
salary
HK$ 90,000 - HK$ 110,000 per month

job details

posted
location
hong kong
specialism
banking & financial services
job type
permanent
working hours
Full-Time
salary
HK$ 90,000 - HK$ 110,000 per month
reference number
91M0147973_1599460580
contact
nicole hui, randstad hong kong
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job description


about the company.

Our client is a prestegious securities firm with strong presence in the region.

about the job.
  • Act as the Deputy to the Head of Compliance, supervising a small team of 8
  • Advise on compliance aspects relating to securities, corporate finance, licensing and related matters
  • Ensure all activities in the company are in compliance with Securities & Futures Ordinance by assessing impact of regulatory changes and advise on updating compliance policies and procedures in accordance with the relevant laws, guidelines and regulatory requirements, stay up to date on any regulatory changes, and ensure that any business is compliant with existing/new regulations
  • Monitor the dealing and trading activities in the securities markets and perform trade surveillance
  • Prepare and maintain an annual Compliance training plan which addresses employee needs and Compliance requirements
skills & experiences required.
  • University degree preferably in law, finance, accounting or related disciplines
  • At least 10 years of solid compliance advisory experience with good securities and financial investment products knowledge
  • Good understanding of SFC regulations and guidelines as well as related regulations and legislations
  • Good interpersonal and people management skills
  • Good command of spoken and written English and Chinese

To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Nicole Hui on + 852 2232 3421 or email: nicole.hui@randstad.com.hk

skills

Deputy Head of Compliance, Securities Firm

qualification

Deputy Head of Compliance, Securities Firm

responsibilities

Deputy Head of Compliance, Securities Firm

educational requirements

Bachelor Degree