15 days ago
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.
- 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
- 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 firstname.lastname@example.org for further discussions.