Permanent | January 18, 2018 | Compliance Generalists, Regulatory Compliance
Reporting to the CEO as Head of Compliance, this is a great opportunity to join one of the largest Commercial Banks in Asia.
Hong Kong listed and licensed by the SFC to carry on Types 1, 4, 6 and 9.
- Support and review business operations of the group companies to ensure compliance with regulatory requirements
- Implement proper internal control systems
- Oversee the overall compliance monitoring function of the company
- Monitor the dealing and trading activities in the securities markets and perform trade surveillance
- Formulate new policies and procedures in accordance with the relevant laws, guidelines and regulatory requirements
- Handle customer complaints and conduct necessary investigations for addressing inquiries from the regulators
- University degree preferably in Law
- At least 8 years of solid and relevant working experience in compliance areas preferably in sizable financial institutions with securities and financial investment products knowledge (experience in asset management and corporate finance business will be an asset)
- Solid knowledge of SFC rules and guidelines and local regulatory requirements
- Strong communication skills with the ability to communicate with all levels of stakeholders
- Excellent command in spoken and written English and Chinese, fluency in Mandarin
Apply nowContact Name: Pathay Singh
Contact Email: email@example.com