You are here
Head Of Compliance - Multinational Securities Firm
- Head of department
- Stable and growing business
About Our Client
Our client is an international securities firm, leading the market in its parent country They are seeking a Head of Compliance to help them build out their relatively new branch in Hong Kong. The business is small in scale but represents a significant growth opportunity. They pride themselves on an excellent family feel culture, dynamic platform, brilliant work/life balance and benefits.
Reporting into both the Head of Sales and CEO, the successful candidate will be responsible for the following:
- Review existing policy and procedure, perform gap analysis (key operational procedures/AML)
- Handle compliance for new business initiatives and submissions
- Be responsible for internal controls and compliance with regulations
- Make sure the SFC is fully satisfied with compliance in general
- Advise staff on pertinent compliance issues
The Successful Applicant
You will have a relevant degree with at least 8-10 years compliance experience within similar financial institutions and environments. Excellent previous experience dealing with the SFC is essential, including strong knowledge within Type 1 Securities Compliance. You must have very good exposure to stock borrowing/lending, high yield notes and fixed income in general. This role requires someone with very strong communication with a positive and collaborative attitude. Fluent English necessary with Cantonese an advantage.
What's on Offer
Highly competitive package, including top rate benefits.