about the company
...
head of compliance, us securities brokerage.
- hong kong
- posted 20 october 2023
- closes 18 december 2023
key responsibilities
Perform the role of Chief Compliance Officer (CCO) and reports to the HK Management and Board of Directors (BOD)
Acts as a Compliance SME and providing Compliance advice, guidance, and driving initiatives/projects, as well as reporting any critical compliance risks, issues and topics
Keeping abreast of regulatory changes and market practice. Analyzing the impact and implementing/enhancing necessary internal control
Collaborate with external partiesexperience
7 yearsskills
compliance, CCO, head of compliance, chief compliance officer, c-suite, stakeholder management, international rolequalifications
Compliance exp in retail/PI securities brokerage. Exp as MIC/MLRO would be preferred.
Engaging and influencing stakeholders/BOD/Management
Written & spoken Chinese and English language skillseducation
Bachelor Degree
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