Compliance Director/ Senior Manager, Securities Brokerage

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Bo Le Associates Ltd
  • 21 Feb 18 2018-02-21

Our client is a US listed Fintech company backed Chinese financial group with business in Securities Brokerage & Asset Management. With continuous business growth, an opportunity now arises for an experienced compliance professional to join as a core member to set up compliance framework and department.

Job Description

  • Develop and maintain / enhance compliance related policies and procedures as well as proper internal control to ensure that Company's activities are in compliance with latest statutory and regulatory requirements
  • As one of the key members to liaise with regulatory bodies, exchange internal and/or external auditors
  • Analyse the testing and controls proceedures to ensure that the compliance monitoring is conducted effectively
  • Perform surveillance for trading activities; Involve in new products launching procedure, providing day-to-day compliance advice to different business lines
  • Review and draft internal and/or external agreements
  • Review and approve client KYC / due diligence reports
  • Responsible for overseeing the KYC process
  • Perform central compliance functions (conduct staff training / CPT monitoring / reporting functions, etc.)
  • Ad hoc projects and administrative/clerical duties

The Successful Applicant

  • University graduate with an accounting, finance, risk, legal or related discipline(s).
  • At least 8 years of experience in general compliance gained from the securities brokerage firms
  • Familiar with the Securities and Futures Ordinance, SFC rules and regulations
  • Good knowledge in investment products, fund setup and practices in FATCA are definitely advantageous
  • Confident, self-motivated, organized, detail-oriented, willing to learn, flexible, able to multitask and strong analytical skills
  • Fluency in written English and Chinese, with verbal fluency in Mandarin