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 VP level candidate to join the team.

This is a newly opened role under the Regulatory Compliance & 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 in different business lines and a clear roadmap in the promotion.

Responsibilities:

• Maintain the daily work with external regulatory bodies, including but not limited to SFC
• Responsible for all licensing matters for the firm and relevant staff members to ensure the compliance to SFC licensing requirements
• Perform regular and ad-hoc compliance reviews assigned by the Head of Regulatory Compliance and Compliance Review.
• Monitor and track the remediation actions suggested in the compliance review report to ensure the effective and timely implementation of remediation actions.
• Prepare management information for regulatory compliance and compliance review teams.

Requirements:

• Degree holder in Business Administration, Accounting, Risk Management, Law or related disciplines
• Minimum 8 years of internal audit/compliance review/regulatory compliance experience, with exposure to investment banking/ securities industry operations
• Well versed with Hong Kong securities regulatory requirements
• Experience in dealing with regulators
• Self-motivated, pragmatic as well as flexibility and openness to continue learning, evolving and growing
• Aptitude for technology and data analysis
• Responsible and detail-minded with good analytical and communication skills
• Fluency in Mandarin and English, and excellent presentation and written skills
• Organized and disciplined, able to meet tight deadlines

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

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