Head of Compliance

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Eagle Partners (International) Company Limited
  • 22 Sep 18 2018-09-22

Our Client is of the largest Chinese futures brokerage firm who is looking for Head of Compliance to monitor the business in Hong Kong.

Responsibilities

  • As the head of the department, oversee the overall compliance monitoring function of the company

  • Formulate, review and update internal compliance policies and procedures

  • Perform periodic compliance review and checking to ensure all activities in the company are in compliance with Securities & Futures Ordinance.

  • Provide AML and compliance-related training

  • Handle licensing related matters, CPT activities and dealing with regulatory bodies

  • Liaise with relevant regulatory authorities and external parties

  • Assist in ad-hoc projects as assigned

Requirements

  • Degree holder in Law, Business Law or related disciplines.

  • At least 5 years Securities and Futures experience in compliance, legal or risk management and 3 year experience in managerial level ;

  • Extensive knowledge in anti-money laundering related regulations, guidelines and practices;

  • Exposure in China financial institutions with relevant compliance experience is highly preferable;

  • Familiar with the Securities and Futures Ordinance, SFC rules and regulations and knowledge.

  • Good team player with excellent communication and interpersonal skills;

  • Excellent command of written and spoken English and Chinese, fluency in Putonghua is a must.