This senior role is essential to Hong Kong operation and directly report to Group level senior management based in Lindon, you will oversee the overall compliance function of the company and act as the MIC of the department. You will be also oversee and enhance the compliance control framework, interpret relevant compliance laws, rules and regulations and translate into appropriate business policies and procedures. You will be responsible to create internal compliance policies and procedures to ensure compliance with regulatory requirements and provide advisory support to the business on compliance matters.
In addition, as head of compliance, you will also advise on compliance aspects relating to securities, corporate finance, IBD business, licensing and related matters. You will 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. You will provide guidance to subordinates and lead the team to execute compliance governance as well as prepare and maintain an annual Compliance training plan.
To qualify, individuals must possess:
Relevant university degree. Relevant post university degree or professional certification preferred
Minimum 15+ years experience in Compliance, Legal or Regulatory function gained from preferably sizable financial institutions with good securities and financial investment products knowledge
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
Experience in interact with regulators like HKMA and SFC
Familiarity with international governance standards on various compliance issues such as AML, KYC, Control Room, conflict of interests, firewall rules
Demonstrable experience in identifying compliance and advising on, promoting, developing and implementing suitable controls, policies and procedures
Demonstrable success in providing timely and prudent counsel and advice to management involving compliance and regulation requirement, matters and solutions
Excellent written and verbal communication skills with fluency in English and Cantonese, Mandarin beneficial
To apply, please contact Jennifer Yang for a confidential discussion at +852 3708 9510 quoting job reference number JY.33879. To visit more Legal, Compliance and Risk management jobs please check www.staranise.com.hk
Data collected will be for recruitment purposes only. Only shortlisted candidates will be contacted. If you have not been contacted within 5 business days of your application, please assume your application has not been shortlisted.
Internal Number: 5877320
About Star Anise Limited
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