Our client is a well-established PRC Financial Group with SFC licensed type 1, 4, 6, 9 business. To cope with the rapid business expansion, she is now inviting high caliber candidate to join the team.

Responsibilities:

• Report to the CEO directly
• Oversee and manage the functions of Compliance, Legal & Risk
• Responsible for developing and enhancing compliance control policies, procedures, programes and monitoring their effective implementation;
• Monitor compliance review and ad hoc examination for securities brokerage, corporate finance and asset management.
• Maintain highest level of compliance standards
• Handle ad hoc projects and drafting and preparing reports and submissions
• Liaise with regulators, internal and external regulators as required
• Ensure all  enquiries, complaints and investigations and licensing works are handled properly

Requirements:

• Degree holder in Law, Finance, Accounting or related disciplines
• Over 12 years’ relevant experience in Compliance team in PRC base securities firm / financial institutions
• Well versed with the SFO and other relevant codes and regulations as well as rules and regulations of Type 1, 4,6, 9
• Proficiency in both spoken and written English, Cantonese and Native Mandarin speaker
• Excellent communication, analytical and problem solving skill

*** Pls send CV to canwie.chan@levin.hk for application or contact us at 2520 0064 for more infor