Compliance Director

Posted on 2017-12-29
Client Information
Client Name: A leading securities house in Hong Kong
Client Description
 

Euro Search specializes in the search, selection, and placements of Banking and Finance services professionals. Strategically located in three main financial hubs in Asia, our network goes beyond the cities we are found. Thorough mapping of various roles in the entire APAC region enables us to revert with the best candidates within the fastest time span.

Our specialization in the banking and finance industry makes us stand out amongst our clients in top European, American and Regional financial institutions. We provide market intelligence and guidance throughout the whole recruitment process, as well as executing successful placements efficiently and in a timely manner.

Job Overview
Work Location:  Hong Kong
Type: Full-Time
Category: Legal & Compliance
Job Description
 

Job Description

  • Provide general and investment compliance advisory to business stakeholders on daily operations
  • Handle and advise business stakeholders on compliance- related enquiries, surveys, offsite reviews, onsite examinations and investigations from regulators and/or industry associations
  • Monitor regulatory changes and developments in relevant business areas to ensure the relevancy/applicability of existing policies and effective implementation of any new policies
  • Track the progress of business stakeholders in complying with the regulatory requirements and/or recommendations of regulators and auditors
  • Lead and conduct investigations on compliance-related cases
  • Promote and maintain effective working relationships with business stakeholders and local regulators (e.g. HKMA and SFC)
  • Deliver relevant compliance training to business stakeholders
  • Issue compliance alerts as and when necessary
  • Take on ad-hoc projects as assigned by management from time to time

Qualification

  • A bachelor degree holder preferably in Law, Business or relevant discipline
  • Experienced in the compliance field for the banking business in Hong Kong or Greater China for at least 10 years; Less experienced candidate will be considered as Vice President/Manager
  • Equipped with solid regulatory experience in multiple business banking areas, including corporate banking, global markets, private wealth, and transaction banking
  • Familiar with local regulatory regulations
  • Excellent leadership and people management skills
  • Good command in written and spoken English and Chinese