Job Description
Senior Vice President - Equity Compliance (HKD90k)
Job Highlights
- Leading Chinese Securities Brokerage firm HQ in HK
- Equities Compliance Focus
- Min 8 years of relevant working experience
Our client is a well-established Chinese securities brokerage firm. As part of business expansion, they are looking for a SVP to join their Compliance Team in Hong Kong, with a focus on equities.
About the Role
Reporting into the Head of Legal and Compliance, you'd assume the following responsibilities:
- Oversee the development, implementation and maintenance of compliance programs
- Manage associated strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit
- Develop and enforce an effective compliance infrastructure to accommodate SFC/SEHK regulatory requirements
- Handle SPAC application with HKEx and understand the respective requirements
- Partnering with other teams including Legal, Risk, Operations and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance
- Manage ad hoc projects as assigned
- Expertise of Compliance laws, rules, regulations, risks and typologies
- Minimum 8 years' relevant equities compliance working experience from foreign deal-broker or Chinese securities brokerage firms
- Thorough understanding of, and experienced with the compliance programs in SFC licensed corporations (especially Type 1,2,4)
- Fluent in Cantonese, English and Mandarin
Click "Apply Now" to apply for this position or call Sophia Liang at +852 3180 4960 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.
