Head of Compliance - Leading Securities Firm

Hong Kong Permanent
  • Head of Compliance position managing a small team
  • Senior Compliance role

About Our Client

My client is a growing Chinese based securities firm. They have a large presence in China and have about 30 staff in Hong Kong. They are SFC license type 1,2,4, and 9.

Job Description

  • provide compliance advisory to the business and identify any compliance risks
  • will be the MIC for compliance and report directly to the General Manager
  • compliance policies and procedures and SFC regulatory updates
  • AML/KYC when necessary
  • compliance training to staff
  • Manage a small team of compliance staff

The Successful Applicant

  • Bachelor Degree in Law/Finance and/or related discipline(s)
  • 8 years compliance experience in asset management and/or securities firm
  • Native speaker in Mandarin
  • Must be able to read and write Chinese

What's on Offer

  • Broad exposure to both asset mangaement and securities industry
  • Will be the Head of Compliance and can manage a small team
  • Competitive salary

Monica Wong
Quote job ref
Phone number
+852 2848 9520

Job summary

Job Type:
Consultant name
Monica Wong
Consultant phone
+852 2848 9520
Job Reference