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Since 1998, we have been engaged in placing Managerial and Functional positions for local and multinational companies in ICT, Finance, Logistics, Manufacturing and Trading industries.
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Vice President, Compliance ( Capital Market )
|Work exp||5 Years To 8 Years|
|Professional Qualification||Bachelor of Law|
|Language||Chinese - Mandarin, English|
|Location||Hong Kong Island|
|Benefits||5-day week, Discretionary bonus, MPF, Medical plan|
Legal / Professional Services > Legal & Compliance
Our client, a leading securities companies in China, is well-known for providing total quality corporate finance, asset management and brokerage service to global and local institutional and corporate clients. To cope with their long-term development, they are currently inviting a high-calibre to join their Hong Kong office.
Job Requirements & Responsibilities :
- Handle compliance-related matters for Global Capital Market ( Equity & Debt ) team;
- Provide compliance advice & conduct regular review & surveillance exercises;
- Maintain & review internal policies, procedures & guidelines for GCM team to ensure compliance with the relevant regulatory requirements;
- Work with group legal & compliance teams when necessary;
- Degree holder or above in Law/ Accounting or related disciplines;
- At least 5 years’ relevant legal, compliance or regulatory experience;
- Solid knowledge of execution flow of equity & debt capital market transaction & related regulations;
- Detail-oriented, self-initiative & responsible;
- Good command of written and spoken English & Chinese, fluency in Putonghua is required.