VP, Compliance - Securities Firm

• Oversee Control Room functions to (i) comply with requirements of Disclosure of Interests under SFO and the relevant SFC Codes; and (ii) handle research and conflict clearance.
• Lead and manage the IBD compliance function with full ownership on the advisory work;
• Work closely with our Investment Banking Division (IBD), which includes but not limited to Corporate Finance, M&A, ECM, DCM, Principal Investment, Asset Management departments;
• Be able to play an internal regulator/adviser role with Control Room function on ongoing projects and investment activities;
• To identify and anticipate potential risk on regulatory matters and impacts on the financial market operations;
• Be able to mitigate regulatory risk and breaches with recommendations;
• Provide regulatory interpretation for the business units;
• Provide compliance advise to Front Office and respond to BAU queries;
• Work with senior stakeholders to ensure efficiency in compliance controls and measure;
• Build and maintain strong relationships with regulatory bodies.
• Ad hoc tasks on request.

Requirements:

• Qualification - University degree in Accounting, Business, Law or related discipline
• Experience - 7 years solid experience in compliance, audit or related field in the financial services sector or with regulatory authorities
• Experience in performing compliance or similar training, development of policies and procedures (and related guidelines), and the conduct of compliance review and investigations.
• Knowledge / Other- Sound working knowledge of (i) the SFO and subsidiary regulations; and (ii) other regulations which may be relevant to business activities (e.g. those enforced by CIB, MPFA, SEHK, HKFE).
• Good command of written and spoken English and Chinese. Strong ethics, integrity and enthusiasm.
• Good leadership, communications (oral & written), interpersonal, analytical and presentation skills

If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, nestor.roldan@charterhouse.com.hkWeb: www.charterhouse.com.hk

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