about 2 months ago
My client is a leading Hong Kong-headquartered comprehensive financial institution with investment banking, asset management and insurance brokerage service. They are currently looking for a Head of Compliance to lead the team of 4, executing regulatory compliance and operational risk testing coverage for business lines.
My client offers an attractive salary package with a track record 4-6 months bonus every year. It would be a great opportunity for candidates to step up as the senior management with great exposure in different business lines.
- Lead the compliance team on all compliance matters
- Design, develop and implement testing programmes in accordance with relevant rules and regulations
- Evaluate the adequacy and effectiveness of compliance policies and procedures
- Identify the risks and examine the effectiveness of controls to ensure compliance align with the law and regulations
- Work closely with business lines to provide advice and support in compliance and risk-related issues
- University graduate with an accounting, finance, risk, legal or related discipline(s)
- Minimum 8 years of general compliance experience in general compliance, preferably gain from investment banks/securities brokerage firms
- Sound knowledge in SFC regulated activities (Type 1, 2, 4, 6, 9) and AML/CFT regulatory requirements, knowledge in CIB regulations will be a plus
- Candidate with legal background will be a plus
- Proficient in written and spoken Chinese and English
For interested parties, please contact Winifred at +852 2777 6277 or email@example.com for further discussions.