Compliance Director Compliance Director …

Captiare Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 21 Jul 19
HKD $1-1.2M p.a.+ bonus
Captiare Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 21 Jul 19
HKD $1-1.2M p.a.+ bonus
Compliance Director (Type 1 focused) – Licensed Securities Brokerage House going IPO

JOB DESCRIPTIONS

  • Carry out compliance duties for Type 1 activities including securities brokerage, margin trading and IPO distribution
  • Ensure company policies, internal control procedures & manuals are complied with regulatory requirements
  • Act as main point of contact with regulators, legal counsels and consultants and liase with regulatory bodies and auditors, e.g. SFC and HKEX
  • Ensure company policies, internal control procedures & manuals are complied with regulatory requirements
  • Maintain regulatory relationships: assess, measure and report on compliance related risks; monitor and test the adequacy of the firm’s compliance control environment and to develop policies and controls
  • Oversee and monitor all CDD, AML and KYC issues, e.g. client on-boarding, negotiation with clients on business terms, and advising the management on various ad-hoc clients’ request and business initiatives 
  • To perform AML compliance monitoring and surveillance programs
  • To advise and direct businesses and stakeholders on the implementation of adequate procedures and controls
  • To undertake investigations into any suspicious transactions reported internally and by clients
  • Assist in performing risk reviews, remediate gaps, design solutions, and assist in managing projects to ensure a compliant outcome

 

REQUIREMENTS:

  • University degree preferably in law, finance, accounting or related disciplines
  • Minimum 7 years of compliance experience in reputable financial institutions. SFC in-house experience would be ideal
  • Knowledgeable in SFC regulations and guidelines
  • Experience in liaising with SFC and HKEx
  • Experience in handling IPO deals an advantage
  • Familiar with compliance issues such as CDD, AML and KYC
  • Familiar with HK legal and regulatory requirements on securities brokerage/ corporate finance is preferred
  • Detail-oriented, mature and able to work independently
  • Fluency in written and spoken English, Cantonese and Mandarin
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