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SM / VP, Compliance

Hong Kong, Hong Kong | Spring

  • Industry:
    Retail
  • Position Type:
  • Functions:
    General Management
    Legal / Compliance
  • Experience:
    3-5 years
Job Description:
51 people have viewed this job

Responsibilities 


Reporting to the Head of Legal and Compliance, you will provide assistance in the management of the department. You will provide regulatory advice for all SFC regulated activities including security margin financing business, securities, futures and options brokerage, DCM/ECM, corporate finance, asset management, fixed income proprietary trading and OTC products desk. You will be the go-to person for any liaison with the parent company, internal stakeholders (business lines, other back office functions) and external stakeholders (auditors and regulators) regarding Compliance and regulatory issues.


Requirement


You should be a Bachelor degree holder or above with at least 4 years of working experience in a Group Compliance function with exposure to SFC regulated activities. The main working languages are Chinese and English. Additional professional qualifications would be an advantage but not a must. Candidate with more experience will be considered for senior posting.  


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