SVP - AD, Compliance (brokerage firm)

My client is an established foreign securities brokerage firm with expanding business in the region.

Responsibilities

• Advise on compliance issues and requirements across various sectors (retail and insitutional brokerage, global markets).
• Ensure the business has adequate procedures and controls to meet all regulatory requirements.
• Assess and update compliance controls and internal policies regularly.
• Establish and improve compliance monitoring systems to track regulatory risks.
• Identify compliance issues in AML/CFT and manage various ad hoc compliance projects as needed.

Requirements

• Degree holder with over 8 years of relevant experience in the compliance functions in the financial services industry.
• Familiar with securities brokerage business operation, products and regulations in Hong Kong.
• Good communication skills in English and Chinese (Cantonese and Mandarin).