Head of Compliance

Our client, an esteemed international securities broker, is looking for a high calibre to join as a Head of Compliance to lead a small team in Hong Kong and this incumbent will be reported to APAC Head of Compliance.

Responsibilities:

• Being the primary liaison to the SFC exchanges and other regulatory bodies;

• Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to brokers in the region;

• Managing the implementation or upkeep of strategies and framework for complying with SFC and exchange requirements for all regulated activities;

• Managing all relevant regulatory inspection and audit reviews (both internal and external), including developing and implementing the appropriate remedial action plans to address any findings.

• Drafting and implementing firm policies and written supervisory procedures;

Requirements:

• University graduated in Finance, Business Administration or relevant disciplines.

• Minimum 10 years experience in regulatory compliance from international financial institutions.

• Familiarity with the Hong Kong regulatory process, rules and codes;

• Strong technical orientation and be comfortable with computers and technology as applied to trading, surveillance and compliance;

• Excellent communication and interpersonal skills.

• Fluency in written and spoken English and Chinese.