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Compliance VP / Director, General Compliance, Securities firm

  • Job type: Permanent
  • Location: Hong Kong
  • Salary: Negotiable
  • Job reference: 391131/001_1570785670
  • Sector: Selby Jennings, Compliance
  • Date posted: 11/10/2019

This person will be responsible for...

  • Handle and review enquiries from regulators on trade-related enquiries, demand for information and investigation related requests;
  • Handle statutory reporting required under the Securities and Futures Ordinance, license application and maintenance;
  • Provide compliance advice and support to different business departments;
  • Update and maintain compliance policies and procedures manuals;

This person should have the following qualifications...

  • 5 + years solid experience in compliance
  • Experienced in dealing with enquiries from regulators on enforcement, intermediaries supervision and licensing issues
  • Proficiency in both written and spoken English and Chinese, fluency in Putonghua is an advantage
  • Candidate with more experience will be considered as Compliance Director

If you are interested in the Compliance VP / Director role in a securities firm with SFC Type 1,2,4,6,9, then please don't wait to apply as this is an urgent mandate.

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