Our client is a leading Investment Brokerage with business covering Corporate Finance & Asset Management.

Position: Compliance Head

Duties:

• Report to Chief Risk Officer

• Lead the Compliance team to manage overall compliance functions of the group and ensure proper functioning

• Provide advice to management on compliance issues and new business development

• Review and update internal policies and procedures on a regular basis and perform regular compliance testing to ensure due compliance with relevant regulatory requirements

• Ensure company policies & compliance issues, e.g. AML, KYC, Chinese-wall etc, are up-to-date and properly implemented

• Monitor daily dealing activities & manage all licensing related matters of the group and conduct CPT training to staff

• Developing and implementing annual internal audit programs and routine compliance testing

• Liaise with regulators on enquiries and compliance matters and handle customer complaints

Requirements:

• Degree holder with major in Law or related subjects preferred
• Minimum 5 years experience in Compliance functions gained from finance industry
• Familiar with compliance functions for Corporate Finance, Asset Management & Securities Brokerage business
• Mature, proactive & highly independent
• Good command of written & spoken English & Chinese (including Mandarin)

Interested parties please send your full resume to Ms. Jacky Yiu at jacky@searchasia.com.hk