head of compliance - international securities/ib firm in Hong Kong

posted
contact
rouella jose landicho, randstad hong kong
job type
permanent
salary
HK$ 1,500,000 - HK$ 1,700,000 per year
apply now

job details

posted
location
hong kong
specialism
banking & financial services
job type
permanent
working hours
Full-Time
salary
HK$ 1,500,000 - HK$ 1,700,000 per year
reference number
91M0133485_1557418771
contact
rouella jose landicho, randstad hong kong
apply now

job description

about the company

Our client is an expanding international securities firm with a strong presence in North Asia.
about the team
You will lead a team of compliance managers.
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

skills

head of compliance, equities, fixed income, compliance advisory, securities, brokerage

qualification

Legal or CPA Qualification - ideal

responsibilities

Head of Compliance - International Securities/IB Firm

educational requirements

Bachelor Degree