Our Client, a leading Securities firm, is currently looking for a Head of Compliance to lead a team of 7.
- Lead a team of compliance & KYC professionals to ensure compliance on all matters
- Advise the business units (Securities brokerage, Fixed income, DCM, M&A, etc) on all compliance matters as required from both a regulatory compliance and investment compliance standpoint
- Handle regulatory compliance matters such as annual meetings and returns, SFC Licensing issues
- Prepare and organize logistics for board meetings, participating in shareholders meetings, Directors and other governance meetings
- Prepare compliance manual, policies and procedures for business units, annual reporting and internal audit
- 10 years of experience in compliance roles in Financial institutions
- Work experience with Securities and Futures Commission is highly preferred
- Demonstrable expertise in Securities/ Sales & Trading compliance, with particular emphasis on SFC regulations and licensing matters
- Knowledge in London restriction matters is highly advantageous
Interested candidates, please kindly send your detailed resume in WORD format including:
1) Current and expected salary
3) Reason for leaving current and past employments
directly to: email@example.com and firstname.lastname@example.org
Personal data collected will be used for employment-related purpose only. We regret that only shortlisted candidates will be notified, thank you.