Head of Regulatory Compliance

Job Description

A leading integrated securities firm in Hong Kong is looking for a Head of Regulatory Compliance to join the expanding team to manage and advise on general compliance matters within the firm.

Responsibilities

• Lead the regulatory compliance team on development and advisory on local and cross-border regulations and policies
• Conduct compliance risk assessment regularly and design the compliance monitoring plan for continuous monitoring and testing
• Responsible for regulatory affairs including implementation of new regulatory requirements, inspections, regulatory reporting and investigations from customer complaints and regulatory bodies
• Establish and implement compliance framework for the company's overseas offices according to relevant laws and regulations

Requirements

• Degree holder with at least 15 years of relevant compliance experience within the investment banking/ financial services industry
• Familiar with the financial industry's regulatory policies and laws and regulations
• Team management experience and excellent project management and interpersonal skills
• Proficient in both Chinese (Mandarin) and English