Compliance Director - Institutional Clients, Compliance

Employer
Haitong International Securities Group Limited
Location
Hong Kong, Hong Kong
Salary
Competitive
Posted
May 13, 2022
Closes
May 24, 2022
Ref
14472964
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
The Job:
  • Lead the Institutional Clients Compliance team and supervise all or part of the following business area : Equity Sales & Trading, Electronic Trading, Fixed Income, Research, Prime Brokerage, etc.;
  • Assess Regulatory & Compliance impact related to new business initiative / process driven off by Business Unit;
  • Work together with the Group Compliance team to provide comprehensive Compliance support;
  • Coordinate and oversee overseas compliance teams regarding the Business Unit coverage;
  • Prepare and review compliance policies, procedures and other compliance documentation;
  • Prepare reporting materials to regulators, Board of Directors and its committees;
  • Organize compliance trainings and prepare learning materials for the employees;
  • Take the Manager in Charge role for compliance function in licensed company when appointed by the board of directors.


Requirements:

We support local hire with solid relevant working experience in HK.
  • At least 10 years' experience in compliance field;
  • University degree in Law / Accounting / Finance / other related disciplines;
  • Excellent command of English and Chinese, fluent in Putonghua;
  • Excellent compliance knowledge in financial service industry;
  • Excellent supervisory skills;
  • Able to communicate tactfully with all levels of management;
  • Good initiative and with strong sense of responsibility.

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