Head of Compliance

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • CIMB Securities Limited
  • 15 Feb 18 2018-02-15

Head of Compliance, CIMB Securities Ltd.

Reporting functionally to the Head of Regional Compliance situated in the Head Office and geographically to CEO and the Board of CIMB Securities Ltd. (“the Company”) in Hong Kong, you will be responsible for developing compliance policies and procedures and reviewing the Company’s activities to ensure adherence to regulations, advise management and the business on compliance issues and regulatory trends, acting as the liaison with the SFC and/or any other relevant regulator. You will also assume the role of Anti-Money Laundering Compliance Officer and required to review legal documents and agreements and liaise with external law firms when needed. In addition, you will provide compliance training to staff and enhance the awareness of compliance within the Company.

Key Responsibilities:

  • Assist with regulatory liaison, including meeting with the regulators, responding to regulators’ requests and inspections;
  • 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;
  • Follow-up on any reported complaints with the department concerned to ensure it is being addressed in a timely manner;
  • To perform trade surveillance for the equity business;
  • Review of new activities or product;
  • 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;
  • Work on regional compliance projects;
  • Perform central compliance functions (conduct staff training / CPT monitoring / reporting functions / maintaining compliance matrixes etc.)

Job Requirement:

  • Minimum 8 years’ hands-on experience in compliance relating to Equities and general compliance matters. Exposures to other areas such as Investment Banking and Equities Research would be an advantage.
  • Must have experience in trade surveillance system, e.g., SMART.
  • Well organized, self-motivated, responsible and able to work under pressure and independently.
  • Good command of spoken and written English.