Our client is a futures brokerage firm subsidiary of a prestigious PRC securities conglomerate which is listed on SSE and HKEX
This position is appointed by the Board of directors. Head of compliance is accountable to the Board and shall exercise the following powers and duties:
- Responsible for all around compliance &risk and legal management of the company;
- Examine the compliance of the company’s policies, rules and new business lines, facilitate the forming of policies and procedures that adhere to relevant rules, laws, regulations and administration requirements;
- Keep abreast to the changes of regulations and policies of administration, parent firm and the group.
- Familiar with local securities and futures laws, exchange rules and regulatory policy;
- At least 5 years of relevant financial broker，market maker or regulator experience;
- Sophisticate in dealing with legal, compliance and risk management issues of financial derivatives broker and market maker;
- Good verbal and written communication skills in both English and Mandarin Chinese
Interested candidates can reach Darcy DU through mobile /Whatsapp:（852）51235801 or emai:email@example.com to learn more.