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SVP Equity Compliance

Job Title: SVP Equity Compliance
Contract Type: Contract
Location: Hong Kong
Industry: Financial Services
Reference: 50336_1651041568
Contact Name: Sophia Liang
Contact Email: sophia.liang@kos-intl.com

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
About the Company

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
The Successful Applicant

  • 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.