Head of Compliance – Executive Director

Responsibilities:

• Act as HK Compliance head and oversee compliance activities in HK.
• Contribute to regional compliance oversight in Australia and Singapore.
• Work as a senior management and manage a wide range of regulatory matters by providing professional compliance advice to the business function and top management on new business initiatives and strategies.
• Hong Kong regulatory experience (interaction with HKEx and SFC and their rules, regulations etc) is essential while any regional exposure/skills will be highly regarded.
• Advisory - Provide advice on regulatory interpretation and compliance issues in the Equities coverage areas; develop and deliver proactive strategies that support compliance / business objectives.
• Review and advise on Compliance requirements related to mandate of market making and brokerage business. Provide analysis on any regulatory implications with proposed measures of risk mitigation.
• Design &implement Compliance Program to address management points after regulatory inspection.
• Identify compliance risks & handle any potential breach of regulations
• Compliance policies and procedures - Review manuals and Compliance Notices to ensure they are properly revised or updated when necessary. Develop and implement new manuals, Compliance Notices, policies and procedures in light of regulatory or business changes.
• Global / regional coordination - Develop close working relationship with Asia Pacific country Compliance teams as well as global counterparts to ensure compliance standards and framework are aligned, and to share best practices and insights across the regions.

Requirements:

• Minimum 8 plus years experience in compliance function that covers brokerage activities.
• Experience with communicating with the regulators (SFC and HKEX) is a plus.
• Candidate with decent management experience will have an advantage.
• Excellent command in English is necessary, good command in Cantonese or Mandarin is a bonus.

Benefits

• Western and friendly company culture.
• Competitive yearend bonus.
• Great annual leave package
• Great Career progression.
• Fully comprehensive medical insurance and personal insurance
• Great MPF Pension Scheme