Head of Compliance
Mandurah Consultancy
Central & Western District, Hong Kong

Description :

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
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