We are a wholly owned subsidiary of SHANXI SECURITIES CO., LTD ("Shanxi Securities" Stock Code: 002500.SZ) and a fast growing international financial institution incorporated in Hong Kong since 2006. We provide securities brokerage, futures contracts trading, asset management and investment banking services to global corporate, institutional clients and retail clients. We are looking for committed, dedicated and high-caliber financial professionals.
- As head of department to oversee general compliance, company secretary, legal and AML issues in relation to all regulated businesses
- Review compliance regulations, policy and procedures and provide legal and provide compliance advisory to business initiatives
- Monitor and oversee the day-to-day operations of Legal and Compliance Department and set up standard of procedures (SOP) and policies
- Advise management and suggest improvements in compliance issues and systems, identify potential compliance risks of all business activities
- Handle legal and related matters including review various contract, and coordinate with external lawyers on legal matters
- Coordinate with relevant regulatory and authorities on regulatory compliance issues including handling compliant and investigation
- Advocate compliance culture and provide internal training
- At least 15 years of compliance experience in the banking
- Good understanding of the compliance issues involved in AML, SFC, KYC & Control Room
- Familiar with securities brokerage and investment banking lines of businesses and respective compliance regulations
- Excellent leadership and communication skills with ability to handle pressure
- Proficiency in spoken Putonghua and written Chinese and English
We offer competitive remuneration packages to the right candidate. Interested parties please submit your resume to Human Resources Department (1). by post to Unit A, 29/F., Tower 1, Admiralty Centre, 18 Harcourt Road, Admiralty, Hong Kong; or (2). by email to email@example.com. All applications will be treated in strict confidence and personal data provided by job applications will be used for recruitment purposes only.