Our client is a multi-cultural investment bank based in Southeast Asia with major activities of SFC RA 1, 4 & 6 in Hong Kong.
The group's business activities are primarily in the areas of Consumer Banking, Wholesale Banking, comprising Investment Banking and Corporate Banking, Treasury & Markets, and Group Strategy & Strategic Investments.
Report to Regional Head of Compliance located in Singapore and supervise one direct report subordinate to effective the daily operation
Oversee all compliance related matters as well as provide professional regulatory advice to all BUs and departments to ensure the regulatory compliance with SFO / HKMA and other relevant regulations
Liaise with HKEX, SFC and relevant regulatory bodies for all compliance and licensing matters as well as identify and evaluate compliance risks of the operations and business activities
Establish and maintain compliance policies, procedures and manuals for all business units with effective measurements for internal control purpose
Keep abreast of updated regulations and take initiative approach to advise the updates and drive for necessary changes to the BUs and departments
Undertake ad hoc assignments or projects as required
Requirement : :
Bachelor Degree holder in Accounting, Finance, Business or relevant disciplines
8+ relevant experience in Compliance function with solid exposure gained from multi-national investment bank / financial institutions
Hands-on and able to work independently with excellent presentation and social skills
Excellent in both written and spoken Chinese and English