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 kelvin.tse@hays.com.hk or visit our Banking page here:
https://www.hays.com.hk/jobs/banking-jobs/
#1208305