Compliance, Chinese securities
Your new role
- Develop and implement the firm-wide compliance strategy in accordance with SFC regulatory requirements
- Serve as the primary liaison with regulatory authorities, including responding to enquiries and managing inspections
- Monitor regulatory developments and interpret implications for business operations
- Lead compliance risk assessments and drive initiatives to proactively manage risks
- Oversee internal audits, policy reviews, and training programs to promote ethical conduct
- Report regularly to the Board and Executive Committee on compliance matters
- Provide guidance on new product launches, cross-border transactions, and strategic partnerships
Requirements - Bachelor's degree in Law, Finance, or related field; advanced degree preferred
- Require 8-10 years' experience in financial services compliance, ideally within a Chinese securities firm
- Strong knowledge of SFC regulations, AML, market conduct rules, and international compliance standards
- Proven leadership and stakeholder management skills
- Excellent analytical, communication, and problem-solving capabilities
- Ability to drive a culture of integrity and regulatory excellence
What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now. (krystal.chun@hays.com.hk)
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.
