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Job

Securities - Senior Compliance Officer (13-months salary)

  • Location

    Hong Kong

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Contact:

    Winifred Tsang

  • Contact email:

    w.tsang@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    3 months ago

  • Expiry date:

    2022-03-31

  • Startdate:

    ASAP

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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