Business Compliance - VP

  • Competitive Package
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • QHire Ltd
  • 17 Aug 18 2018-08-17

QHire, boutique executive search firm, with the mission of connecting professionals with “the right” opportunity to benefit both employers and employees from the advice of a reliable partner throughout business and career development.

Responsibilities

  • Advise management and relevant business units on compliance-related matters, including the review of new products/services from a compliance perspective
  • Develop policies and procedures and related guidelines; review and comment on P&P, marketing materials, advertisements, etc.  prepared by other departments / business units, to promote compliance with applicable legal and regulatory requirements
  • Liaise with management, business, operations and other relevant departments, auditors and regulatory authorities on compliance matters and issues
  • Perform follow-up reviews to verify the implementation of recommendations from regulators, external and internal auditors, assist to resolve compliance-related findings and issues identified
  • Design compliance surveillance programs and conduct compliance monitoring and reviews on products and business units under the VP’s responsibility area.  Handle ad-hoc investigations, customer complaints, suspicious transactions reviews etc.  Report any non-compliance in accordance with protocols and suggest actions for resolution, compliance improvement planning etc.
  • Lead the Compliance Advisory team to handle CIB, MPFA and Bullion registration matters
  • Keep abreast of the latest legal and regulatory requirements and promote compliance awareness and culture of the Group including preparation of training materials and delivery of compliance trainings

 Requirements

  • Degree holder in Accounting, Business, Law or related discipline
  • Minimum 7 years’ relevant experience, preferably in compliance, audit, accounting or related experience in the financial services industry or with regulatory authorities
  • Experience in performing compliance or similar training, development of policies and procedures (and related guidelines) and the conduct of compliance review and investigations
  • Good knowledge of the Securities and Futures Ordinance and its subsidiary rules, as well as rules and guidelines of the SFC
  • Organized, diligent and attentive to details, with a strong sense of responsibility
  • Strong self-motivation and personal integrity, with good communication, interpersonal, analytical, presentation and problem solving skills
  • Good command of both written and spoken English and Chinese