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Jobs

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General compliance, VP

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As Vice President of General Compliance, your role will be pivotal in advising the business on compliance issues related to transactions while providing ongoing guidance on compliance requirements.

What you'll do:

  • Advise business on compliance issues in transactions and provide ongoing guidance on compliance requirements.
  • Provide practical compliance advice for various business sectors such as retail and institutional brokerage, global markets business.
  • Ensure business implement adequate procedures and controls to comply with all applicable regulations, laws and codes.
  • Review current compliance controls, formulate and update internal policies and procedures.
  • Establish and enhance compliance monitoring program on the Company's various activities.
  • Supervise the development of systems to track and monitor regulatory risk.
  • Identify compliance and internal control issues in the area of AML/CFT.
  • Undertake various ad hoc compliance projects and initiatives as required.

What you bring:

  • Degree holder in Business, Finance, Law or other related disciplines.
  • Minimum 6 years of legal and compliance experience in brokerage companies.
  • Professional compliance & legal qualification would be preferred.
  • Proficiency in written and spoken English, Cantonese, and Putonghua.
  • Excellent project management, communication and presentation skills.
  • Responsible, well organized with good communication & interpersonal skills.

About the job

Contract Type: FULL_TIME

Specialism: Legal & Compliance

Focus: Financial Services

Industry: Financial Services

Salary: Negotiable

Workplace Type: On-site

Experience Level: Mid Management

Location: Hong Kong

Job Reference: EJFGNL-C25B0D81

Date posted: 09 January 2025

Consultant: Jessie Chan

Phone number: +852 2161 9401

jessie.chan@robertwalters.com.hk

Jessie Chan

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