Head of Compliance

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Delta Asia Financial Group
  • 30 Sep 16

Delta Asia Financial Group is a comprehensive financial institution with 80 years of history, comprising Retail Banking, Commercial Banking, Investment Banking and General Insurance across Hong Kong, Macau and Guangzhou. It is reputable for its Corporate Governance, Management, and Pursuit of Excellence.

Responsibilities

  • Oversee the Group’s business operations being strictly in compliance with all the legal and regulatory requirements 
  • Draft and review operational manuals for each business activity carried out by the companies in the Group
  • Update the management with all the regulatory changes including anti-money laundering (AML) procedures and anti-terrorists financing rules and regulations
  • Draft and review legal contracts and agreements to cope with daily operations
  • Liaise and follow up with external legal counsels on legal proceedings
  • Examine and review viability of financial products from the compliance point of view
  • Develop high standard AML internal examination plans for execution periodically
  • Assist the management to mitigate all operational risks

 

Requirements

  • Degree holder in Law, Business, Finance or related disciplines 
  • 8 years experience in Compliance, highly preferred within securities or assest management companies
  • In-depth knowledge of SFC regulations, Securities and Futures Ordinance and HKEX regulations
  • Good understanding of familiarity with applicable laws and regulations and good knowledge in financial products (e.g. securities, futures and forex) and commercial practices
  • Excellent interpersonal skill with strong written and verbal communication skills
  • Proficient in both spoken and written English and Chinese

 

Application

We offer competitive remuneration package to the right candidaite. Interested parties please email your full resume with availability, current and expected salary to dasjobs@delta-asia.com quoting the reference number in the subject line.


All information provided will be treated in strict confidence and only be used for recruitment purpose.

 

Website: www.delta-asia.com