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Job

Chinese IBank - Compliance Review AVP/VP

  • Location

    Hong Kong

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Contact:

    Winifred Tsang

  • Contact email:

    w.tsang@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    15 days ago

  • Expiry date:

    2021-10-08

  • Startdate:

    ASAP

My client is a top-tier Chinese financial institution with SFC Type 1, 2, 4, 6, 9 licenses. They are looking for a compliance review AVP to VP level candidate to join the team.

This is a newly opened role under the Compliance Review Team. Candidates are required to have all-rounded (FCC and regulatory compliance) testing skills and be knowledgeable about IPO annual sponsorship review.

The role can offer an attractive salary with a track record of 4 to 6 months bonus. It offers you opportunities to explore compliance reviews in different business lines and a clear roadmap in promotion.

Responsibilities:

  • Assist the Head of Compliance Review to perform reviews of the firm’s various business lines and related control/supporting functions
  • Perform regulatory risk assessment of the firm and formulate annual compliance review work plan
  • Execute the compliance review work plan including communications reviews and surveillance
  • Prepare and maintain quality documentation of the compliance review work
  • Coordinate regulatory onsite examinations

 

Requirements:

  • University degree in Business Administration, Finance, Risk Management, Law or other related disciplines
  • Minimum 5 years of internal audit/compliance experience, with exposure to securities brokerage, sales & trading and investment banking industry
  • Well versed with Hong Kong securities industry regulatory requirements
  • Firsthand experience in interacting with regulators preferred
  • Bilingual with proficiency in both Chinese and English languages

For interested parties, please contact Winifred at +852 2777 6277 or w.tsang@hamlynwilliams.com for further discussions.

 

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