VP/SVP, Compliance

Job Title: VP/SVP, Compliance
Contract Type: Permanent
Location: Hong Kong
Reference: JW-190725-1
Contact Name: Justin Wan
Contact Email:
Job Published: July 29, 2019 13:51

Job Description

VP/SVP, Compliance (Chinese Financial firm)


Our client, a prestige Chinese Financial Firm is now looking for a VP/SVP who is familiar with EQD and FICC business. 


  • Provide updates on the latest regulatory requirements on fixed income derivative products to the business

  • Develop and maintain an effective control framework and regime designed to identify, manage and mitigate regulatory risks on EQD and FICC business;

  • Lead the implementation of new regulations and accordingly to develop new policies and procedures in meeting the evolving regulatory requirements;

  • Handle regulatory enquiries and liaison, dealing with regulators for the EQD and FICC business line;

  • Represent and participate in compliance forums; 

  • Provide compliance update to regular management meeting;

  • Drive/Co-ordinate the regulatory projects on the EQD and FICC business;

  • Liaise with overseas offices on EQD and FICC business and products compliance related work;

  • Provide training to the subordinates and business on compliance requirements impacting the business;

  • Assist in leading and supervise the EQD and FICC Compliance team in Hong Kong


  • Bachelor or Master Degree in Accounting or related fields

  • Minimum 10 years of compliance advisory experience on EQD and FICC business; 

  • In-depth knowledge and experience of fixed income derivative products (primarily Fixed Income Sales & Trading, FX/Rates, Investment Banking and Capital Markets);

  • Familiar with the Hong Kong securities laws and regulations especially the ones that directly impacting the EQD and FICC business;

  • Good communication skills in English and Mandarin


 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.