Deputy Head of Compliance – First Tier Brokerage

  • HKD$ 100k - 140k/month
  • Hong Kong
  • Permanent, Full time
  • Gravitas Recruitment Group
  • 17 Mar 19

Our client is a leading Securities firm based primarily within the APAC region that is rapidly expanding. It is a major provider of financial services incorporating a number of different business lines including, securities brokerage, stocks and futures, asset management, wealth management, investment banking and corporate finance businesses. They are currently looking for an experienced compliance candidate to oversee the compliance department.

Responsibilities:

  • You will be assisting the Head of Legal & Compliance in leading the compliance department supporting the Group's business
  • Providing support to the securities business overseeing daily departmental operations 
  • Working closely with senior stakeholders and management on compliance related issues
  • Liaise with regulators, internal/external auditors and coordinating regulatory inspections 
  • Leading and supporting the Compliance Advisory, Surveillance, Control Room, AML functions

Requirements:

  • Degree holder in Law or related disciplines 
  • Minimum 15 years experience in compliance preferably coming from securities brokerage/investment banking background
  • Excellent knowledge of rules/regulations of the securities business
  • Experience in dealing with regulators 
  • Excellent people management skills; able to lead and motivate 
  • Exposure in US/UK/China compliance laws and regulations is a definite advantage 
  • Strong stakeholder management skills 
  • Fluency in English, Mandarin, Cantonese 

Our client offers excellent remuneration package to the right candidate. Interested parties please reach out to Eunice Lee at 3907 0744/e.lee@gravitasgroup.com for a confidential discussion and further details on the position.