Director, General Compliance – Legal & Compliance Division

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • China Merchants Securities International Co., Ltd
  • 17 Oct 17 2017-10-17

Director, General Compliance – Legal & Compliance Division

China Merchants Securities International Co., Limited (“we”), wholly owned by China Merchant Securities Company Limited (Stock Code: 6099.HK/600999.SH), is principally engaged in the provision of a wide range of financial services including brokerage, corporate financing, sales and trading, leveraged and structured lending, asset management, private equity, global commodities and futures. We are searching high caliber talents to help develop and take part in the growth of our business.

Job Responsibilities:

  • Develop, roll-out and maintain/ review/ enhance compliance related policies and procedures as well as proper control to ensure that Company’s activities are in compliance with latest statutory and regulatory requirements;
  • Assess impact of regulatory changes and advise on updates to compliance policies whenever required;
  • Provide advice to designated business units and support on full spectrum of compliance functions, including but not limited to investment/product compliance pertinent to Equities/Futures Brokerage, Global Commodities, Fixed Income businesses and Asset Management and Private Equity; regulatory enquiries, licensing, central compliance function, etc.;
  • As one of the key members to liaise with regulatory bodies, internal and/or external auditors;
  • Handle complaint, investigate special cases and assist in ad hoc projects as assigned;
  • Provide guidance to junior staff of Legal & Compliance Department and compliance training to staff of relevant business and support units; and
  • Perform such other duties as shall from time to time be directed by your superiors.

Job Requirements:

  • Bachelor degree or above in law, finance, accounting or related disciplines;
    A minimum of 10 years of relevant experiences; exposure in reputable audit firms highly preferred;
  • Good knowledge of SFC regulations, other relevant regulations and financial products;
  • Solid experience in handling Compliance issues in the areas of Equities/Brokerage (institutional and retail) and Asset Management;
  • All rounded with real practical experience including FICC and OTC derivatives;
  • Responsible, detailed-mind, well-organized with good communication skills;
  • Excellent command of spoken and written Chinese and English. Conversational level of Mandarin is required.

We offer attractive remuneration and benefits including 5-day working week to the right candidates. Interested parties, please send your full resume including your CURRENT and EXPECTED salary to Head of Human Resources Division, China Merchants Securities International Company Limited., 48/F, One Exchange Square, Central, Hong Kong or by email.

Personal data provided will be used by us for recruitment and related purposes, which is strictly in accordance with the Personal Data (Privacy) Ordinance (Cap. 486 of the Laws of Hong Kong) for Applicants for Employment. Applicants who are not contacted within 6 weeks may consider your applications unsuccessful and the personal data collected will be destroyed after 2 years or such other period as prescribed by the applicable laws.