Connecting linkedin



Securities - Regulatory Compliance and Compliance Review VP

  • Location

    Hong Kong

  • Sector:

    Financial Services and Banking

  • Job type:


  • Contact:

    Winifred Tsang

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    6 months ago

  • Expiry date:


  • Startdate:


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 for further discussions.