For Recruiters
HARBRIDGE PARTNERS

Compliance, Vice President (SFC 1,4,6,9)

HARBRIDGE PARTNERS Hong Kong
Posted 4 days ago Permanent negotiable
D
Posted by
Douglas AU
Associate Director
Our client is a well-known brokerage and market making platform with SFC type 1,4,6,9 licenses. Their business covers securities trading, wealth management, asset management and corporate finance. Their business focus consists of providing trading services for cash equities, option and bonds in Hong Kong and mainland region. They are now looking for a compliance professional with extensive experience to join them as their VP

Responsibilities:

  • Primarily support HK based equities business, managing a team of 8. 
  • Work with legal, compliance and other support staff across the region and in the other regions to advise on and address cross-jurisdictional compliance matters
  • Design compliance surveillance programs and conduct compliance monitoring and reviews on products and business units under the VP’s responsibility area.  Reviewing and provide suggestion to enhance existing trade surveillance system/reports.
  • Manage projects to build and implement approved enhancement changes as well as changes required due to regulatory changes.
  • Handle ad-hoc investigations, customer complaints, suspicious transactions reviews etc.  Report any non-compliance in accordance with protocols and suggest actions for resolution, compliance improvement planning etc
  • Liaise with the regulators on enquiries, onsite inspection, thematic review and investigations.
  • Manage the platform’s FATCA/ CRS compliance and other upcoming common reporting standard.
  • Advise management and relevant business units on compliance-related matters/ issues, including the review of new products/ services from a compliance perspective.
  • Advise business line management and assist in providing solutions to potential problems or issues involving compliance or regulatory risk 
  • Perform follow-up reviews to verify the implementation of recommendations from regulators, external and internal auditors, assist to resolve compliance-related findings and issues identified.
  • Conduct compliance monitoring and desk reviews to ensure compliance with regulations and internal policies 
  • Review and approve marketing materials 
  • Provides support for the development of compliance policies and procedures which meet compliance standards, and for the monitoring of implementation 
  • Identify regulatory or reputational risks and escalate to senior management for resolution 
  • Conduct training sessions on firm policies and procedures 
  • Take a supporting role in strategic and policy issues regarding compliance and regulatory matters affecting the business in the country and/or region 
  • Initiates, manages, and executes global or regional compliance projects 
  • Provide support for compliance-related risk assessment and control evaluations as requested

 

Requirements:

  • Minimum of 7 years of experience in compliance.
  • Previous sales and trading compliance experience in equities is an advantage.
  • Experience in providing compliance training to business units
  • Experience in developing policies and procedures guidelines.
  • Experience in conducting compliance review and investigations.
  • Bachelor’s degree in any related discipline.

 

Benefits

  • Friendly and westernise company culture.
  • Competitive yearend bonus.
  • Great annual leave package
  • Great Career progression.
  • Fully comprehensive medical insurance and personal insurance
  • Great MPF Pension Scheme
ABOUT COMPANY
Hong Kong
HR & Recruitment
HARBRIDGE PARTNERS is a boutique, corporate finance executive search and human capital consultancy firm. We are an Asia-based, premier human capital ...
More Jobs From HARBRIDGE PARTNERS
HARBRIDGE PARTNERS
Senior Finance Manager (Type 1,4,9 SFC Business)
HARBRIDGE PARTNERS
Hong Kong
5 days ago Full time 50k - 60k
HARBRIDGE PARTNERS
Team Head, Equities Compliance, APAC (ED)
HARBRIDGE PARTNERS
Hong Kong
6 days ago Full time Competitive and Negotiable
HARBRIDGE PARTNERS
APAC Compliance Associate (Equities)
HARBRIDGE PARTNERS
Hong Kong
4 days ago Full time HK$600k - HK$840k
HARBRIDGE PARTNERS
Head of Internal Audit (Listco)
HARBRIDGE PARTNERS
Hong Kong
4 days ago Full time Negotiable, no budget cap at the moment

Boost your career

Find thousands of job opportunities by signing up to eFinancialCareers today.
More Jobs Like This
Pure Hong Kong
Senior Financial Crime Manager
Pure Hong Kong
Hong Kong
Hays Banking & Financial Services Hong Kong
Compliance Manager - Private Bank
Hays Banking & Financial Services Hong Kong
Hong Kong