18 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 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.
- 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.
- 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 email@example.com for further discussions.