Compliance Director/Associate Director, Investment Bank Compliance Director/Associate Director, Investment  …

QHire Ltd
in Hong Kong
Permanent, Full time
Last application, 20 Jan 21
competitive
QHire Ltd
in Hong Kong
Permanent, Full time
Last application, 20 Jan 21
competitive
Posted by:
Harry Tsang • Recruiter
Posted by:
Harry Tsang
Recruiter
A top Chinese Investment Bank is looking for a compliance director.

Job responsibilities

  • Manage and identify Compliance matter related to SFC business.
  • Responsible for efficiency and effectiveness evaluation and improvement and ensure current activities are in compliance with internal guidelines and external regulations.
  • Revise general operation's policies and procedures of company's compliance program
  • Monitor and coordinate other departments to make sure compliance of business activities to keep the status of all compliance activities and to identify trends.
  • Work with relevant frontline or mid/back departments to direct compliance issues to appropriate existing channels for investigation and resolution.
  • Handle AML issues


Requirements

  • Bachelor's degree holder majoring in Law, Finance or any other related disciplines with at least 7 years solid working experience in financial services company
  • Familiar with HKSFC Licensing regulations, codes, guidelines and reporting requirements.
  • Sound knowledge in investment products, funds and structures
  • Good interpersonal skills with good communications skills & team spirits
  • Multilingual / Multicultural working environment

 

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