My client is a top-tier Chinese securities firm. They are looking for senior compliance officer with a minimum of 3 years of compliance experience in brokerage firms, financial institutions, big 4 audit firms or law firms. Candidates must be knowledgeable of SFC Code of Conducts and relevant regulatory requirements

My client offers a competitive package with a guaranteed 13 monthly salary with a discretionary bonus. It would be a great opportunity to gain management experience.

Responsibilities:

• Advise departments on compliance matters and support business initiatives
• Update company's policies and procedures according to the regulatory changes 
• Responsible for regulatory reporting and inquires with external regulators 
• Develop, manage and carry out compliance testing
• Manage internal and external audit, inspections and investigations from the auditors, Exchanges and Regulators

Requirements:

• Bachelor Degree in Law, Accountancy, Finance, or related disciplines
• Minimum 3 years of compliance or relevant experience in brokerage firms, financial institutions, big 4 audit firm or law firms
• Solid understanding of SFC Code of Conducts and relevant regulatory requirements
• Knowledge of securities and investment products and operation is a plus
• Preferable to have project management experience on implementation of new rules, products or business
• Proficient in both written and spoken Chinese and English

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

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