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:
Requirements:
We support local hire with solid relevant working experience in HK.
- 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.