PeopleSearch has been voted “Top 10 HR Vendor of the Year” by readers of Human Resources magazine since 2007. Our clients are market leaders with aggressive growth plans. If you are looking for a challenging career that will bring you to new levels of success, we would be delighted to meet...

PeopleSearch has been voted “Top 10 HR Vendor of the Year” by readers of Human Resources magazine since 2007.

Our clients are market leaders with aggressive growth plans. If you are looking for a challenging career that will bring you to new levels of success, we would be delighted to meet you and understand your career goals better.

Compliance Director

Job level Middle
Education
Location Hong Kong
Employment type
Industry Financial Services
Job function Banking / Finance > Legal / Compliance
Banking / Finance > Dealing / Trading
Banking / Finance > Corporate Finance
Published On 30/11/2016

Our client is looking for a Compliance Director to join our geographically diverse International Compliance Team who will play a key role in assisting the firm in meeting its Hong Kong and US regulatory obligations.

Specifically, the Compliance Director will:

  • Maintain a strong working knowledge of Hong Kong's laws and regulations applicable to the broker dealer's activities
  • Maintain a strong working knowledge of applicable regulatory guidance, expectations and requirements for the firm's compliance program
  • Provide timely compliance advice and guidance to business partners and senior management on applicable proposed, and or amended regulatory requirements that may require revisions to policies, procedures and/or controls; changing regulatory expectations; the development and implementation of policies, procedures and controls necessary to achieve and monitory compliance with applicable regulatory requirements for new and existing products and services; and compliance training
  • Administer an annual Compliance Risk Assessment process consistent with Corporate Compliance Standards and applicable regulatory requirements and expectations
  • Assist with projects for the expansion of product offerings and geographical reach to support business goals
  • Perform other duties and special projects as assigned

The Compliance Director will serve as an individual contributor and report into the Vice President of International Compliance.

What you have:

The following qualifications are required:

  • Professional work experience in a Compliance role in a similar sector of the financial services industry
  • Strong working knowledge of SFC rules
  • Strong written and oral communication skills
  • Strong attention to detail and the ability to work independently
  • Excellent organization and prioritization skills, including the ability to prioritize based on regulatory risk and business needs
  • A degree and local professional post graduate qualification relating to Financial Services regulatory compliance

 The following qualifications are preferred:

  • Knowledge of FINRA and SEC rules and US securities industry practices
  • Series 7 and 24

All interested parties, please send your full resume to our Senior Consultant Eli Wong at eliwong@pplesearch.com.