Vice President - Compliance, Legal & Compliance Department

  • Salary + Discretionary Bonus
  • Hong Kong
  • Permanent, Full time
  • China Galaxy International Financial Holdings Limited
  • 08 Nov 18

Reporting to the Head of Legal and Compliance, you will be responsible for developing compliance policies and procedures and reviewing the Company’s activities to ensure adherence to regulations, advise management and the business on compliance issues and regulatory trends, acting as the liaison with the SFC and/or any other relevant regulator. You will also assume the role of Anti-Money Laundering Compliance Officer.

Key Responsibilities:

  • Report to the Head of the Legal & Compliance Department;
  • Reviews and comments on the compliance and operation manuals, AML manuals, marketing materials, advertisements etc. to ensure compliance with applicable legal and regulatory requirements;
  • Conduct compliance/ AML reviews and ad-hoc investigations;
  • Report non-compliance issues and suggest resolution and improvement plan;
  • Handle SFC enquiry and conduct related investigations;
  • Other jobs and/or duties which may from time to time assign to you.

Requirements:

  • Degree holder in Law, Finance or other related disciplines;
  • Minimum 4 years’ hands-on experience in compliance relating to Equities and general compliance matters. Exposures to other areas such as Investment Banking and Equities Research would be an advantage.
  • Well organized, self-motivated, responsible and able to work under pressure and independently.
  • Good command of spoken and written English and Chinese.

 

We offer attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present & expected salaries and date of availability to Human Resources Department by email.

All applications will be treated in the strictest confidence and personal data collected will be used for recruitment purpose only.