Vice President, Control Room and Headquarter Liaison, Legal & Compliance Vice President, Control Room and Headquarter  …

GF Holdings (Hong Kong) Corporation Limited
in Hong Kong
Permanent, Full time
Last application, 24 Nov 21
GF Holdings (Hong Kong) Corporation Limited
in Hong Kong
Permanent, Full time
Last application, 24 Nov 21
Posted by:
Sherry Au Yeung • Recruiter
GF Holdings (Hong Kong) Corporation Limited
Posted by:
Sherry Au Yeung


  • Provide compliance advice and support to investment banking business such as corporate finance, M&A, ECM and DCM;
  • Conduct internal control checks for new projects such as independence, conflict of interest and anti-money laundering checks;
  • Perform control room functions and handle matters relating to Chinese Wall such as update of watch list and restricted list, and wall-crossing;
  • Handle requests from headquarter and other relevant units and ensure smooth, accurate and timely communications;
  • Assist/conduct compliance monitoring and investigation;
  • Prepare regular and ad hoc compliance management reports;
  • Conduct periodic and ad hoc review of internal policies and procedures in light of evolving regulatory environment;
  • Deliver ongoing internal training to business stakeholders to promote compliance culture as appropriate.


  • Self-motivated, able to work independently and collaboratively in a highly dynamic environment;
  • Sound knowledge in rules and regulations administered by the SFC, compliance best practices as well as securities and investment banking business;
  • Strong analytical skills with ability to make prompt and accurate recommendations;
  • Good interpersonal and communication skills;
  • Degree holder in Law, Accounting, Finance, Business Administration or related discipline;
  • Three-year solid work experience in regulatory, control room and IBD compliance preferably in Chinese financial institutions or regulatory bodies;
  • Proficiency in both written and spoken English and Chinese (including Mandarin);
  • Immediately available is highly preferred.

We offer attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present & expected salaries and date of availability to Human Resources Department by clicking "APPLY NOW".

Further information about our group companies can be found at and

All applications will be treated in the strictest confidence and personal data collected will be used for recruitment purpose only.

Company Overview

Established upon approval from the China Securities Regulatory Commission (CSRC) on June 14, 2006, GF Holdings (Hong Kong) Corporation Limited (GF Holdings (HK) is a Hong Kong-based wholly-owned subsidiary of GF Securities Co., Limited (stock code: 000776.SZ1776.HK), and is responsible for managing its businesses in Hong Kong and overseas markets. GF Holdings (HK), through its subsidiaries, is registered with the Hong Kong Securities and Futures Commission and is licensed to conduct type 1, 4, 6 and 9 regulated activities. It offers comprehensive cross-border financial services including brokerage and wealth management, corporate finance, asset management and investment management to corporate, institutional and retail clients in Hong Kong and overseas.

With Hong Kong as our springboard to international markets, GF Holdings (HK) strives to explore and capture opportunities in China and build a global platform that acts as a bridge between the Chinese and overseas capital markets, and to provide professional and effective capital market services for clients at home and abroad.

GF Holdings (Hong Kong) Corporation Limited logo
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