VP, Compliance

Job Title: VP, Compliance
Contract Type: Permanent
Location: Hong Kong
Reference: JW190730-1
Contact Name: Justin Wan
Contact Email:
Job Published: August 01, 2019 10:25

Job Description

VP, Compliance (Chinese Leading IB)


Our client,  one of the top ranked Chinese financial services firm with strong business pipelines is looking for VP, Compliance (Chinese Leading IB)


  • Manage licensing matters with SFC, and answer relevant enquiries

  • Act as contact person with relevant regulatory bodies such as SFC and HKEx

  • Provide compliance advise to management and business units/back office on compliance-related issues

  • Assist the Head of Compliance training to conduct compliance training; (regular)

  • Monitor complaint handling process to ensure complaints are properly followed-up as instructed by SFC and in accordance with internal requirements

  • Prepare and review compliance checking programmes and departmental operational procedures

  • Draft, review internal manuals, policies and procedures from compliance perspective to ensure compliance with regulatory bodies



  • Degree holder in Accounting, Finance, Law, Risk or other related disciplines

  • At least 5 years of related working experience in financial industry, highly prefer in securities industry

  • Strong knowledge in SFC rules and regulations in respect to Type 1, 2, 4, 5, 6 and 9 regulated activities;

  • Detail-oriented , proactive, hands-on, , able to handle multiple tasks, and adaptability to a small team environment and high standards for accuracy and quality

  • Excellent command of written and spoken English and Chinese, fluency in Mandarin

  • Independent, self-initiative , good interpersonal skills, and able to work under pressure


Interested candidates, please kindly send your detailed resume 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 to inform that only shortlisted candidates will be notified, thank you.

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