Compliance Director/ Senior Compliance Manager

by Lu Yim in Banking & Financial Services    17th Jan, 2020       central

Compliance Director/ Senior Compliance Manager


Our client is a well established financial services firm. We are now seeking a Compliance Director who will maintain various compliance policies and procedures.


·         Mainly be responsible for Type 1 regulated activities

·         Responsible for the regulatory compliance of the Investment and Securities businesses in Hong Kong

·         Work closely with in-house legal dept. and colleagues to complete individual tasks.

·         Developing and monitoring effectiveness of the existing compliance function

·         Provide advice to senior management regarding financing, compliance, regulatory matters.

·         Identify changes in legislation or regulatory environment and communicate on their impact

·         Review policies, guidelines, procedures and practices on an ongoing basis.

·         Perform a variety of legal activities in accordance with the established standards of the SFC, both policies and procedures

·         Direct report to GM


·         Degree holder in Finance/ Corporate Governance/ Law/ Business

·         Strong understanding in SFC rules and regulations, esp Type 1

·         Relevant experience in regulatory compliance preferably gained from a listed securities firm/ financial institutions

·         Legal background preferred such as LLB, LLM

·         Excellent interpersonal, presentation and communication skills.

·         Strong language skills in English and Chinese (Mandarin)

·         IANG also welcome

·         Candidates with more experience will be considered as Senior Compliance Manager

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For more information about this job opportunity please contact our consultant.

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