A global leading securities brokerage company is looking for a Head of Regulatory Compliance for their Hong Kong office to oversees local regulatory compliance matters.
Responsibilities
- Oversees Hong Kong regulatory and compliance matters.
- Be the primary contact to the relevant regulatory bodies.
- Manage the implementation and review of compliance framework to comply with regulatory requirements.
- Draft and review compliance policies and procedures.
- Research and advise regarding the applicable laws and regulations in the region.
- Manage and follow up relevant regulatory inspections and audit reviews.
Requirements
- Degree holder with over 10 years of relevant experience in compliance functions with Consultancy, Securities Brokerage, Stock Exchange or other SFC licensed corporations.
- Familiar with laws and regulations for securities brokerage in Hong Kong.
- Fluency in English and Cantonese.
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