Compliance Director - Securities / WM Compliance Director - Securities / WM …

Selby Jennings
in Hong Kong
Permanent, Full time
Last application, 16 Apr 21
Negotiable
Selby Jennings
in Hong Kong
Permanent, Full time
Last application, 16 Apr 21
Negotiable
Our client is a top securities / brokerage is currently looking for a Compliance Director for their wealth management business. This person will lead a team of 2 and report to the group head of compliance.

Our client is a top securities / brokerage is currently looking for a Compliance Director for their wealth management business. This person will lead a team of 2 and report to the group head of compliance.

Job Responsibilities

  • Handling regulators inquiry, inspection and investigation
  • Take part in internal business compliance enquiries in relation to type 1,2,4,5,6, and 9 activities
  • Conduct annual compliance risk assessment and planning
  • Provide on-going and surveillance activities
  • Provide compliance advice and training to other department and senior management

  • Ad hoc task from senior management

Job Requirements

  • Degree holder in finance, business administration or related disciplines
  • 12 years of compliance experience at financial institutions including brokerage, securities, wealth management or regulator
  • Extensive experience in working with SFC and HKMA
  • Strong management skills
  • Good command in English and Mandarin
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