Deputy Head of Legal and Compliance, Reputable Securities House Deputy Head of Legal and Compliance, Reputable  …

Capital Access Limited
in Hong Kong
Permanent, Full time
Last application, 15 Oct 21
Negotiable
Capital Access Limited
in Hong Kong
Permanent, Full time
Last application, 15 Oct 21
Negotiable
Posted by:
Betty Zeng • Consultant
Posted by:
Betty Zeng
Consultant
Our client is a stable and growing securities house with strong brand recognition in Greater China market across a variety of business lines across asset management, brokerage and capital markets. They are actively growing the Hong Kong business and hiring a Deputy Head of Legal and Compliance for the Compliance Department, based in Hong Kong.

Reporting to the General Counsel, you will be leading a small team, supervising and managing the company's daily compliance work across various businesses, ensure the legality and compliance of the company's business operations; you will manage and maintain the external relations with law firms, regulatory bodies and related government departments for both Chinese onshore and offshore market; you will be liaising with China HQ on any compliance related matters and projects; you will also perform any ac hoc tasks assigned by the senior management or HQ.

Requirements:

  • Degree holder in Business or related disciplines.
  • Minimum 10 years of experience in compliance function with reputable securities house.
  • Familiar with securities / investment banking industry laws and regulations, especially SFC regulations applicable to Type 1, 4, 6, 9 licensed corporation.
  • Experience working in Chinese securities house is HIGHLY REGARDED.
  • Fluency in both written and spoken English and Chinese, proficiency in Mandarin is a MUST.

For more information, please contact Betty Zeng at 3598 9070 or bzeng@capitalaccess.com.hk

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