Your new company
Your new company is a top-tier foreign securities brokerage house. They have newly created this headcount at Assistant Vice President (AVP) Level (min. 3 years in-house compliance) to join their Compliance team to ensure that risks are properly identified and assessed, and performing extensive compliance monitoring/control for their clearing business.
Your new role
As an influential member of the team, you will carry out the compliance monitoring programme on a risk-based approach and conduct gap analysis on internal compliance manual and procedures. Below are the mainly objectives of your role:
- Develop, review and enforce compliance programmes in accordance with the policies and guidelines of the bank and regulatory bodies.
- Conduct regular compliance reviews to ensure following of procedures are meeting regulatory requirements/ business changes
- Advise on AML/CFT compliance program
- Handle inquiries from regulators and licensing applications
What you'll need to succeed
- Ideally you will have at least 3 years of compliance experience in securities brokerage.
- Possess good knowledge of local regulatory (SFC) requirements.
- Good command of both spoken and written English and Chinese.
What you'll get in return
- Competitive compensation package alongside consistent career development
- Opportunities to work with experienced compliance specialist within the field
- Involvement in regional compliance projects
- Lead and transform the strategy and future of a well-established team
What you need to do now
If you are currently looking for a new role within the Banking and Financial Services AML/Compliance function, or potentially exploring the market? Feel free to contact myself on +852 2230 7451 for a confidential discussion, and send me your CV to email@example.com or visit our Banking page here: