Our client is a top securities / brokerage is currently looking for a Compliance Director for their wealth management business. This person will lead a team of 2 and report to the group head of compliance.
Job Responsibilities
- Handling regulators inquiry, inspection and investigation
- Take part in internal business compliance enquiries in relation to type 1,2,4,5,6, and 9 activities
- Conduct annual compliance risk assessment and planning
- Provide on-going and surveillance activities
- Provide compliance advice and training to other department and senior management
- Ad hoc task from senior management
Job Requirements
- Degree holder in finance, business administration or related disciplines
- 12 years of compliance experience at financial institutions including brokerage, securities, wealth management or regulator
- Extensive experience in working with SFC and HKMA
- Strong management skills
- Good command in English and Mandarin
