Compliance Director Compliance Director …

Space Executive Pte Ltd
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 27 Sep 19
negotiable
Space Executive Pte Ltd
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 27 Sep 19
negotiable
Space Executive Pte Ltd
Our client, an Asset management and securities company which provide one stop all rounded trading platforms to the client is looking a Compliance Director to join their company.

Key Responsibilities

  • Oversee the overall compliance monitoring and KYC function of the company, and act as the MIC of the department
  • Advise on compliance aspects relating to securities, futures, forex, asset management, licensing and related matters
  • Ensure all activities in the company are in compliance with Securities Futures Ordinance by assessing impact of regulatory changes and advise on updating compliance policies and procedures in accordance with the relevant laws, guidelines and regulatory requirements, stay up to date on any regulatory changes, and ensure that any business is compliant with existing/new regulations
  • Support and review operations of the business units to ensure proper internal control and compliance with regulatory requirements
  • Monitor the dealing and trading activities in the securities markets and perform trade surveillance
  • Handle customer complaints and conduct necessary investigations for addressing inquiries from the regulators
  • Provide guidance to subordinates (compliance team and KYC team) and lead the team to execute compliance governance
  • Prepare and maintain an annual Compliance training plan which addresses employee needs and Compliance requirements
  • Develop and deliver Compliance training and resources which enhances employee awareness and knowledge

Key Requirements

  • University degree preferably in law, finance, accounting or related disciplines
  • At least 8 years of solid and business facing working experience in compliance areas preferably in sizable financial institutions with good securities and financial investment products knowledge
  • Good understanding of SFC regulations and guidelines as well as related regulations and legislations, and important concepts including but not limited to professional investors regime, licensing regime, FRRs, best execution policy rules, MIC regimes, OTC derivatives regime
  • Familiarity with Company Ordinance, Securities Futures Ordinance and any other rules and regulations including but not limited to AML, FATCA, CRS/AEOI
  • In-depth understanding of regulatory risk management, internal controls, and root cause analysis
Company Overview

With offices in Singapore, Hong Kong, London and Germany and USA on the horizon, Space Executive is a multi-disciplinary recruitment agency that has already made its mark globally in just four short years. 

Space Executive specialises in recruiting senior management to executive level personnel for listed Multinationals, Financial Services, Private Equity and Venture Capital across Strategy and Corporate Development, Change and Transformation, Technology, Finance, Sales and Marketing, General Management, Human Resources and Governance (Legal, Risk and Compliance). 

Space Executive has been recognised for its exceptional work and service delivery in recruitment and has received a number of awards including Best Places to Work in 2019, Recruitment International Best Newcomer 2016, Global Recruiter Asia Pacific Gold Award 2016, and was ranked Most Socially Engaged Staffing Agency in both 2016 and 2017 by LinkedIn.

Close
Loading...