Compliance-VP (Equity and futures)

Job Title: Compliance-VP (Equity and futures)
Contract Type: Permanent
Location: Hong Kong
Salary: Negotiable
Reference: GW170802-3
Contact Name: Gordon Wang
Contact Email:
Job Published: August 02, 2017 17:01

Job Description

Our client is a well-known financial institution which focusing on corporate finance, PE ,direct investment. They are developing very fast and looking for a compliance- VP which focus on Equity and futures.

Key responsibilities include (but are not limited to):

  • Assist Department Head in developing, maintaining and enhancing Compliance Policies and Procedures to accommodate applicable regulatory requirements 
  • Provide compliance expertise in identification of risks, assessing of controls and reporting on effectiveness of controls 
  •  Interact with regulatory authorities with respect to general enquiries, licensing, ongoing conduct and reporting requirements, and new or modified business initiatives;
  • Work with business lines and support operation teams to provide compliance and risk expertise
  • Develop and deliver Compliance training to enhance awareness and knowledge of applicable laws and regulatory requirements


  • At least 5 years of related experience in general compliance gained from investment banks/securities brokerage firms
  • Strong knowledge/experience of SFC regulated activities (Type 1, 2, 4, 6, 9) and AML/CFT regulatory requirements, knowledge in CIB regulations will be a plus.
  • University graduate with an accounting, finance, risk, legal or related discipline(s)
  •  Ability to multi-task between multiple and ongoing responsibilities and assignments
  • Strong sense of ownership and responsibility
  • Excellent verbal and written communication skills
  • Ability to meet deliverables in tight time frames
  • Exhibits flexibility and adaptability
  • Candidate with legal background will be a plus 

If interested, please send your CV along with your current and expected salary to: AND CC

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