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VP, Compliance

Job Title: VP, Compliance
Contract Type: Permanent
Location: Hong Kong
Industry:
Reference: JW190730-1
Contact Name: Justin Wan
Contact Email: justin.wan@jac-recruitment.com
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)

Responsibilities:

  • 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

 

Requirements:

  • 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: justin.wan@jac-recruitment.com and jac.hk@jac-recruitment.com

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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