VP, Compliance (SFC Type 1, 6 or 9)

A leading securities firm is hiring a VP Compliance Manager with solid hands-on experience in SFC Type 1, 6, or 9 (any one or combination). Multi-license holders will be prioritized.

Responsibilities:

• To assist in formulating compliance-related rules, operational procedures, and business processes, and to participate in establishing the compliance management framework

• To conduct compliance reviews of internal management policies, major decisions, new products and new businesses, and legal documents signed with external parties

• To participate in the organization and implementation of controls in relation to general compliance, Chinese Wall, anti-money laundering, etc.

• To participate in the identification, assessment, and control of compliance risks, and oversee the compliance of business activities and employee conducts

• To participate in organizing compliance training programmes to enhance staff compliance awareness, provide compliance advice

• To participate in responding to compliance-related inquiries from regulators

• To complete other tasks assigned by the senior management and department head

Requirements:

• Bachelor's degree in Business, Finance, Law, or a related field

• Minimum 3 years of experience in regulatory compliance within the financial services industry, regulators or compliance consulting firm

• Sound knowledge of relevant laws, regulations and industry practice

• Strong analytical skills with the ability to identify compliance risks and recommend appropriate controls

• Excellent written and verbal communication skills in Chinese and English, with the ability to effectively illustrate complex regulatory concepts

• Detail-oriented mindset with a focus on accuracy and precision

• Ability to work independently, prioritize tasks, and meet deadlines

• Proficient in using office software such as Microsoft Office