AVP - Regulatory Compliance (Securities Firm) AVP - Regulatory Compliance (Securities Firm) …

KPMG Executive Recruitment Limited
in Hong Kong
Permanent, Full time
Last application, 05 May 21
Competitive salary plus bonus
KPMG Executive Recruitment Limited
in Hong Kong
Permanent, Full time
Last application, 05 May 21
Competitive salary plus bonus
Posted by:
Johnny Kwok • Consultant
Posted by:
Johnny Kwok
Consultant
Our client is a reputable securities firm with well-established business.

Responsibilities:

  • Prepare and setup compliance policies, guidelines and procedures to achieve full compliance with applicable internal, legal and regulatory requirements – including but not limited to SFC requirements
  • Work closely with business, operation, risk management and related parties to ensure enquiries or investigations from regulators are handled smoothly. Perform checks to ensure issues identified are followed-up and rectified properly
  • Review and advise on marketing materials, advertisements, etc. Support different departments or business units to ensure compliance
  • Design surveillance programs for compliance monitoring. Report, investigate, and mitigate issues of non-compliance
  • Review training materials to help meet CPT/CPD requirements
  • Keep abreast of the latest changes in legal and regulatory requirements and suggest relevant responses
  • Other compliance related issues, such as promoting compliance awareness culture and preparing compliance training to staffs

Responsibilities:

  • Degree holder or above, major in Finance/Accounting/Law or related disciplines
  • 5 years or above in financial services industry. Experiences from compliance/audit are all welcomed
  • Experience in key compliance functions, such as review & investigations, or development of guidelines and procedures, are key requirements
  • Solid understanding of codes, rules and requirements relevant to the Company. This may include, but not limited to, guidelines from regulators such as the HKSFC and the IA
  • Multi-tasker with attention to details and ability to cope with pressure and tight deadlines
  • Problem solver with great communication and interpersonal skills
  • Integral, logical, with strong compliance awareness
  • Fluent English and Chinese (Mandarin) – both written and spoken

 

Applications:

For information and application, please contact Ms. Cynthia Chui  by clicking APPLY or visit www.kpmg.com.cn/KER-opportunities. By submitting your application and communication with us, you agree to receive communications from us and agree our Personal Information Collection Statement in the following link: www.kpmg.com.cn/KER-opportunities

@2021 KPMG Executive Recruitment Limited, a Hong Kong limited liability company and a member firm of the KPMG network of independent member firms affiliated

 

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