Securities firm - Head of Compliance

Key Responsibilities

• Oversee the overall compliance monitoring and KYC function of the company, and act as the MIC of the department
• Advise on compliance aspects relating to securities, corporate finance, licensing and related matters
• Ensure all activities in the company are in compliance with Securities & Futures Ordinance by assessing impact of regulatory changes and advise on updating compliance policies and procedures in accordance with the relevant laws, guidelines and regulatory requirements, stay up to date on any regulatory changes, and ensure that any business is compliant with existing/new regulations
• Support and review operations of the business units to ensure proper internal control and compliance with regulatory requirements
• Monitor the dealing and trading activities in the securities markets and perform trade surveillance
• Handle customer complaints and conduct necessary investigations for addressing inquiries from the regulators
• Provide guidance to subordinates (compliance team and KYC team) and lead the team to execute compliance governance
• Provide compliance training to staff of relevant business and support units
• Act as Compliance liaison with internal business unit and stakeholders, co-work as a team member with other internal support functions such as Planning, Finance, Operations, and Legal
• Discuss/collaborate with compliance counterparts of London/Singapore/Tokyo/New York office depending on the project
• Report to the President/Head of Management Control, and share the information with relevant department proactively as necessary
• Assist in ad-hoc projects as assigned

Requirements

• University degree preferably in law, finance, accounting or related disciplines
• At least 8 years of solid and relevant working experience in compliance areas preferably in sizable financial institutions with good securities and financial investment products knowledge (including various Stocks, Fixed-income products, OTC derivatives products)
• Good understanding of SFC regulations and guidelines as well as related regulations and legislations and important concepts including but not limited to professional investors regime, licensing regime, FRRs, best execution policy rules, MIC regimes, OTC derivatives regime
• Familiarity with Company Ordinance, Securities & Futures Ordinance and any other rules and regulations including but not limited to Dodd Frank, Mifid II, FATCA, CRS, AEOI
• Familiarity with international governance standards on various compliance issues such as AML, KYC, Control Room, MNPI handlings, conflict of interests, firewall rules
• Good interpersonal and people management skills. Ideally a candidate who is capable of being a good team player, and being able to work together with other functions
• Good command of spoken and written English and Chinese (including Putonghua)
• Responsible, detailed-mind, well-organized with excellent communication skills
• Ability to manage around 6-7 team members, including oversight and execution of responsibilities, performance management, and development
• Prior working experience in SFC is a plus

Interested candidates, please kindly send your detailed resume in WORD format including current and expecting salary, notice period directly to grace.liu@jac-recruitment.com and jac.hk@jac-recruitment.com

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