As part of PageGroup, Michael Page is a leading professional recruitment consultancy specialising in the recruitment of permanent, contract and temporary positions on behalf of the world's top employers. PageGroup operates through 155 offices in 35 countries worldwide. First established in London...
As part of PageGroup, Michael Page is a leading professional recruitment consultancy specialising in the recruitment of permanent, contract and temporary positions on behalf of the world's top employers. PageGroup operates through 155 offices in 35 countries worldwide. First established in London in 1976, we've been bringing jobseekers and employers together for more than 30 years. London listed, we opened our first Asian office in Hong Kong in 1994 and currently we have offices in all major business hubs across the APAC region, including Australia, Singapore, Tokyo, Malaysia, India, Taiwan, Shanghai, Beijing, Shenzhen, Guangzhou, Pudong and Suzhou.

So if you're looking to take your career to the next level, visit www.michaelpage.com.hk

Head of Compliance, Regional Investment Bank

Job level Senior
Work exp No work experience
Education Bachelor Degree
Location
Within Hong Kong
Employment type Full Time
Industry Banking
Job function Banking / Finance > Legal / Compliance
Banking / Finance > Risk Management
Banking / Finance > Derivatives / Equities
Published On 13/09/2019
ref. 4080281/001_94993

A leadership role on offer for an experienced equities compliance candidate.

Client Details

Our client is one of the largest regional investment banks with businesses across investment banking, brokerage, private banking and direct investment.

Description

Reporting to the Head of Legal and Compliance, you will be responsible for:

  • Developing and implementing compliance policy and program covering sales and trading activities, with particular emphasis on the compliance with the SFC's rules and regulations on Code of Conduct, suitability obligations and prevention of market misconduct;
  • Leading a team of staff in the area of core/central compliance, areas covered include licensing, training, trade surveillance, handing of regulatory inquiries and examinations;
  • Ensuring regular review/monitoring is conducted to identify compliance gap and issues;
  • Conducting compliance training to the business;
  • Participating in new product development and advising the business on compliance and regulatory risks.

Profile

You will be a university graduate with a minimum 12 years of compliance experience. Your experience will have a focus on providing compliance advisory and support to the sales and trading activities of international investment banks. You will possess strong communication skills and ability to work under minimum supervision. Excellent command of both written and spoken English and Chinese is essential, and ability to communicate in Mandarin preferred.

Job Offer

  • Attractive Salary
  • Good work life balance

To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Jessy Wong on +852 2848 4706.