head of compliance - chinese investment bank in Sheung Wan

rouella jose landicho, randstad hong kong
job type
HK$ 1,500,000 - HK$ 1,800,000 per year

job details

sheung wan
banking & financial services
job type
working hours
HK$ 1,500,000 - HK$ 1,800,000 per year
reference number
rouella jose landicho, randstad hong kong
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job description

about the company

Our client is an expanding securities / investment banking firm with a strong presence in Greater China. about the team
  • You will lead a team of compliance managers (regulatory compliance and AML) based in Hong Kong
  • Dynamic, growing business in Asia
about the job
  • You will oversee the overall compliance monitoring and KYC function of the company, and act as the MIC of the Compliance Department
  • 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 15 to 20+ years of solid compliance advisory experience with good securities and financial investment products knowledge (including Equities, Fixed Income, OTC derivatives products)
  • 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 Rouella Landicho on + 852 2232 3479 or email: rouella.landicho@randstad.com.hk


head of compliance, securities, brokerage, asset management, investment bank, SFC, regulatory compliance


Legal or CPA Qualification ideal


Head of Compliance - Chinese Investment Bank

educational requirements

Bachelor Degree