Head of Compliance - Top Investment Bank Head of Compliance - Top Investment Bank …

QHire Ltd
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 26 May 20
Competitive
QHire Ltd
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 26 May 20
Competitive
My client, a top Investment Bank, is looking for a Head of Compliance.

Job responsibilities

  • Manage and identify Compliance matter related to SFC business.
  • Responsible for efficiency and effectiveness evaluation and improvement and ensure current activities are in compliance with internal guidelines and external regulations.
  • Revise general operation's policies and procedures of company's compliance program
  • Monitor and coordinate other departments to make sure compliance of business activities to keep the status of all compliance activities and to identify trends.
  • Work with relevant frontline or mid/back departments to direct compliance issues to appropriate existing channels for investigation and resolution.


Requirements

  • Bachelor's degree holder majoring in Law, Finance or any other related disciplines with at least 10 years solid working experience in financial services company
  • Familiar with HKSFC Licensing regulations, codes, guidelines and reporting requirements.
  • Sound knowledge in investment products, funds and structures
  • Good interpersonal skills with good communications skills & team spirits
  • Multilingual / Multicultural working environment
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