Compliance Head/Senior Manager

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • ConnectedGroup Limited
  • 16 Nov 17 2017-11-16

Our client, a leading securities house, is looking for a senior candidate to lead a team and act as the initial contact point with various regulators for routine incoming compliance advisory to support with the expansion of business in Hong Kong.

Our client, a leading securities house, is looking for a senior candidate to lead a team and act as the initial contact point with various regulators for routine incoming compliance advisory to support with the expansion of business in Hong Kong.





Responsibilities:

  • Provide compliance guidance and advise management and frontline staff on any compliance issues including advise on any regulatory or reputation risk in respect of new engagements/clients;
  • Assist with regulatory liaison, including meeting with the regulators, responding to regulators' requests and inspections;
  • Undertake compliance testing and other reviews pursuant to internal policies;
  • Monitor staff's personal account dealing;
  • Review research reports and advise on research issues;
  • Assist with conflicts disclosures and conflicts clearance;
  • Review and approve client KYC / due diligence reports;
  • Manage the wall crossing process and facilitate wall crossings;
  • Perform central compliance functions.



Requirement:

  • Minimum 8 years' hands-on experience in compliance relating to securities and general compliance matters.
  • Degree holder preferably in Law, Accounting or business-related disciplines.
  • Self-motivated, independent, pleasant personality with good communication skills, able to communicate effectively at all levels.
  • Good command of written and spoken English and Chinese (including Putonghua).