head of compliance, securities brokerage in Hong Kong

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

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 year
reference number
91M0155653_1619913611
contact
nicole hui, randstad hong kong
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job description

about the company.

Our client is a chinese securities brokerage with strong financial stability.

about the job
  • Act as the main point of contact for compliance related matter, managing 1 junior
  • Drafting and reviewing compliance procedures/policies, ensuring that they are properly developed and monitored to align with the relevant rules and regulations;
  • Handling SFC filing, enquiries and investigations;
  • Handling staff dealing monitoring and CPTs registers;
  • Handling KYC, AML-related issues and projects;
  • Handling licensing matters with SFC, and assist in answering relevant enquirers
  • Drafting compliance checking plan, programme, checklists and reports
  • Conduct compliance review, checking and assessments
  • Prepare and deliver relevant compliance trainings
  • Perform ad hoc projects as required
skills & experiences required.
  • University Graduate or above in business administration, accountancy, finance or law discipline;
  • 7 to 10 years of work experience in securities houses/ asset managers/ financial advisors
  • Must be detail-oriented, independent, responsible and able to work under pressure;
  • Good English and Chinese (Mandarin a must).
Interested parties please call Nicole Hui at 2232 3421 for a confidential discussion or send your CV to Nicole.hui@randstad.com.hk

skills

Head of Compliance, Securities Brokerage

qualification

Head of Compliance, Securities Brokerage

responsibilities

Head of Compliance, Securities Brokerage

educational requirements

Bachelor Degree