Compliance Director (Asset or Wealth Mgt & Inv Banking / Regulatory & Trade Surveillance)

Expiring today

Recruiter
Guotai Junan (Hong Kong) Limited
Location
Hong Kong
Salary
Competitive
Posted
11 Aug 2017
Closes
21 Aug 2017
Sector
Legal
Contract Type
Permanent
Hours
Full-time

Responsibilities: 

Asset/Wealth Mgt & Inv Banking

  • Provide advisory support and relationship management for the designated business lines - Investment Banking, Wealth Management & Fund Management;
  • Develop & implement SFC's suitability requirements;
  • Ensure distributor management in compliance with regulations;
  • Assess the compliance risk of Asset/Wealth Management Businesses in complying with regulations;
  • Monitor the effectiveness of compliance controls;
  • Develop and enhance relevant policies and procedures for compliance controls; and
  • Provide training on relevant compliance issues and culture.

Regulatory & Trade Surveillance

  • Provide advisory support and relationship management for the designated business lines;
  • Manage regulators enquiries & investigations;
  • Develop and execute Transaction Surveillance Programs;
  • Manage and perform trade surveillance and monitoring activities to meet SFC and HK Stock Exchange requirements;
  • Identify and investigate suspicious transactions and Trading pattern;
  • Develop and enhance relevant policies and procedures for compliance controls; and
  • Provide training on relevant compliance issues and culture.

Requirements:

  • University degree holder in Finance or related discipline;
  • Minimum 8 years' compliance experience in financial institutions with at least 3-5 years in a supervisory role;
  • Good exposure in investment banking compliance, viz. DCM, ECM, Corporate Finance;
  • Good exposure in Wealth Management Compliance;
  • Good exposure in Suitability;
  • Good exposure in KYC, CDD and Client Onboarding;
  • Good exposure in Structured Products Compliance;
  • Good exposure in SFC and HKEX (including China Connect) rules and regulations;
  • Good exposure in trade surveillance in sales & trading, viz. insider trading, staff dealing, price manipulation, best execution and conflict of interest;
  • Good exposure in dealing with SFC and HKEX enquiries, inspections and investigations;
  • Good exposure in review and investigation of SFC regulated activities; and
  • Proficiency in both written and spoken English and Chinese, fluency in Putonghua is a must.

We offer an attractive remuneration package to the right candidate. Interested parties please forward your full resume with availability, expected salary to hr@gtjas.com.hk or simply send it to 27/F., Low Block, Grand Millennium Plaza, 181 Queen's Road, Central, Hong Kong.

(Data collected will be kept strictly confidential and used for recruitment purpose only.)