Our Client, a leading Securities firm, is currently looking for a VP for Regulatory Compliance.
Job description:
- Regulatory compliance regarding licensing, AML, trade surveillance, other ad hoc duties
- Point of contact to SFC; support and advise on SFC licensing applications and other matters
- Handle regulatory requests, onsite inspection, enquiries from SFC, annual returns for Co. and licensed individual
- Conduct induction compliance training & champion topical internal compliance training to all staff
- Act as the MLRO and advise BU re AML & perform transaction monitoring, investigations, client screening
- Annual review of Compliance Manual/ Policies & Procedures and implementation of all relevant policies
- Prepare regulatory and internal/external compliance reports
- Ensure staff’s personal account dealings are in compliant with internal rules & issue warnings if necessary
- Conduct internal monitoring/investigation by regular checking on staff emails, Bloomberg chats & messages, phone recordings and other materials
- Handle reporting of Block Trade, Domestic PO/IPO, compliance committee meeting, COI check, MNPI Monthly and large volume possession
- Handle request from internal and external auditors
- Review documents such as pitch books and disclaimers
- Handle notifications such as restricted list, remind licensed staff about notification rules, gift & entertainments
Requirements:
- Degree holder in law, finance, accounting or related disciplines
- Minimum 5 years’ solid experience in the field of financial industry (esp. good experience in securities business)
- SFC experience is preferred (i.e. Sound knowledge in SFC rules and regulations)
- People-oriented and team players
- Proficiency in both written and spoken English, Chinese and Mandarin
Interested candidates, please kindly send your detailed resume in WORD format including:
1) Current and expected salary
2) Availability
3) Reason for leaving current and past employments
directly to: grace.liu@jac-recruitment.com and jac.hk@jac-recruitment.com
Personal data collected will be used for employment-related purpose only. We regret that only shortlisted candidates will be notified, thank you.