Securities Regulatory Compliance (VP Level, SFC experience preferred)

Job Title: Securities Regulatory Compliance (VP Level, SFC experience preferred)
Contract Type: Permanent
Location: Hong Kong
Reference: GL181005-1
Contact Name: Grace Liu
Contact Email:
Job Published: October 09, 2018 15:11

Job Description

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


  • 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: and

Personal data collected will be used for employment-related purpose only. We regret that only shortlisted candidates will be notified, thank you.