Head of Regulatory Compliance - Securities Brokerage

A global leading securities brokerage company is looking for a Head of Regulatory Compliance for their Hong Kong office to oversees local regulatory compliance matters.

Responsibilities

• Oversees Hong Kong regulatory and compliance matters.
• Be the primary contact to the relevant regulatory bodies.
• Manage the implementation and review of compliance framework to comply with regulatory requirements.
• Draft and review compliance policies and procedures.
• Research and advise regarding the applicable laws and regulations in the region.
• Manage and follow up relevant regulatory inspections and audit reviews.

Requirements

• Degree holder with over 10 years of relevant experience in compliance functions with Consultancy, Securities Brokerage, Stock Exchange or other SFC licensed corporations.
• Familiar with laws and regulations for securities brokerage in Hong Kong.
• Fluency in English and Cantonese.