Head of Risk and Compliance

Responsibilities

• Formulate, implement, and review risk and compliance policies, guidelines and regulations to ensure full compliance with regulatory requirements;
• Identify and monitor risks in business units and middle to back office sectors, mainly focusing on credit risk and operational risk, and assist in market risk and other risk-related monitoring;
• Review the internal control of different units and provide recommendations on control enhancement;
• Develop and prepare periodic risk management reports for senior management;
• Assist and participate in the development and implementation of ongoing enhancement of risk management;
• Undertake due diligence on potential investment projects;
• Monitor investment compliance and licensing issues;
• Review fund structures, marketing materials, and provide advisory to the business;
• Handle ad-hoc tasks as required.

Requirements

• Degree holder or above with major in Risk Management, Business, Finance, Law or related discipline;
• Qualification in FRM/CPA/CFA is preferred;
• At least 10 years of experience in risk management and compliance gained from financial institutions;
• Advanced knowledge of the securities industry and its practices, financial market and corporate finance activities;
• Excellent communication and writing skills in both English and Chinese (Mandarin and Cantonese)

We offer competitive remuneration package to the right candidates. Interested parties please submit your resume (in both English and Chinese), with current and expected salaries, availability, contact phone number and email address.