Head of Compliance & Internal Audit

  • NEG
  • Hong Kong
  • Permanent, Full time
  • Shenwan Hongyuan Securities (H.K.) Limited
  • 09 Sep 16

We invite high calibre candidates to fill the following position:-

Duties & Responsibilities :

  • Ensure the group of companies complying with all laws, rules and regulations of the relevant regulatory authorities and maintaining good internal control policies;
  • Advise Senior Management and business lines on all aspects of compliance related to SFC and Listing Rules;
  • Lead a team to carry out regular compliance and internal audit programme;
  • Handle ad hoc assignments as from time to time assigned by the Senior Management.


  • Degree holder in Economics, Finance or related disciplines;
  • At least 10 years of experience in securities brokerage compliance and handling enquiries from local regulators is expected;
  • Good interpersonal skill and detail-oriented;
  • Strong written and verbal communication skill.

We offer attractive remuneration package and fringe benefits including 5-day week to the right candidate.  Interested parties please send your application letter with resume stating present and expected salary to Human Resources Department, Level 19, 28 Hennessy Road, Hong Kong or email to hr.recruitment@swhyhk.com  (Please quote the reference of the post)

All information received will be kept in strict confidence and only for recruitment purposes.