Regulatory Compliance || AVP-VP

  • Competitive Package
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • QHire Ltd
  • 14 Aug 18 2018-08-14

QHire, boutique executive search firm, with the mission of connecting professionals with “the right” opportunity to benefit both employers and employees from the advice of a reliable partner throughout business and career development.

Responsibilities

Provide regulatory advisory on securities, futures, mutual fund, bonds, structured products, etc., 

Liaise with business and functional units, auditors and regulatory authorities on compliance related issues/ matters

Design / revise compliance surveillance programs and conduct compliance reviews and ad-hoc investigations.  Report non-compliance issues and suggest resolution and improvement plan

Handle product advisory within relevant divisions

Develop, update and review compliance policies & procedures and related guidelines

Review and comment on policies and procedures prepared by other departments from a compliance perspective 

Keep abreast of the latest legal and regulatory requirements and promote compliance awareness and culture of the Group including preparation of training materials and delivery of compliance trainings

Perform follow-up reviews to ensure recommendations from regulators, external auditors and internal auditors, to resolve compliance related findings / issues identified, are promptly addressed and properly implemented 

 

Requirements

Degree holder in Accounting, Business, Law or related discipline

Minimum 5 years’ relevant experience, preferably in compliance, audit, accounting or related experience in the financial services industry or with regulatory authorities 

Good knowledge of the Securities and Futures Ordinance and its subsidiary rules, as well as rules and guidelines of the SFC

Good knowledge of AML / KYC related laws, regulations, guidelines and practices

Good knowledge in financial products is a plus

Organized, diligent and attentive to details, with a strong sense of responsibility 

Strong self-motivation and personal integrity, with good communication, interpersonal, analytical, presentation and problem solving skills

Good command of both written and spoken English and Chinese