AVP Compliance AVP Compliance …

Selby Jennings
in Hong Kong
Permanent, Full time
Last application, 15 Sep 21
HKD400000 - HKD600000 per annum
Selby Jennings
in Hong Kong
Permanent, Full time
Last application, 15 Sep 21
HKD400000 - HKD600000 per annum
Our client is a top brokerage/full licensed corporation who is looking for an AVP within the general compliance team.

Job Responsibilities

  • Design compliance surveillance programs
  • Conduct compliance monitoring and reviews
  • Prepare and develop compliance policies and procedures and related guidelines
  • Handle SFC enquiries and S181, S182, and S183 investigations by SFC
  • Participate in ad hoc compliance project

Job Requirements

  • University degree in business, law or related discipline
  • Minimum 5 years of compliance experience within financial service, particularl in securities brokerage or wealth management
  • Experience in leading compliance training
  • Good understanding in SFC and other regulatory authorities

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