Head of Compliance, Regional Investment Bank
About Our Client
Our client is one of the largest regional investment banks with businesses across investment banking, brokerage, private banking and direct investment.
Reporting to the Head of Legal and Compliance, you will be responsible for:
- Developing and implementing compliance policy and program covering sales and trading activities, with particular emphasis on the compliance with the SFC's rules and regulations on Code of Conduct, suitability obligations and prevention of market misconduct;
- Leading a team of staff in the area of core/central compliance, areas covered include licensing, training, trade surveillance, handing of regulatory inquiries and examinations;
- Ensuring regular review/monitoring is conducted to identify compliance gap and issues;
- Conducting compliance training to the business;
- Participating in new product development and advising the business on compliance and regulatory risks.
The Successful Applicant
You will be a university graduate with a minimum 12 years of compliance experience. Your experience will have a focus on providing compliance advisory and support to the sales and trading activities of international investment banks. You will possess strong communication skills and ability to work under minimum supervision. Excellent command of both written and spoken English and Chinese is essential, and ability to communicate in Mandarin preferred.
What's on Offer
- Attractive Salary
- Good work life balance