Leadership Solutions Limited

Compliance - Senior Vice President (Team Head)

Leadership Solutions Limited
Salary negotiable
Posted on 13 Mar 2021

Compliance - Senior Vice President (Team Head)

Leadership Solutions Limited

Job Highlights

  • H.K. Listed Licensed Corporation
  • Familiar with SFC regulations
  • 8 years compliance experience

Job Description

Our client, a H.K. Listed Licensed Corporation, is inviting experienced professional to join the team. 

Responsibilities

  • Support and review business operations of the group companies to ensure compliance with regulatory requirements
  • Implement proper internal control systems
  • Oversee the overall compliance monitoring function of the company
  • Monitor the dealing and trading activities in the securities markets and perform trade surveillance
  • Formulate new policies and procedures in accordance with the relevant laws, guidelines and regulatory requirements
  • Handle customer complaints and conduct necessary investigations for addressing inquiries from the regulators

Requirements

  • University degree in Business Administration or related disciplines
  • At least 8 years of solid and relevant working experience in compliance areas preferably in sizable financial institutions with securities and financial investment products knowledge
  • Solid knowledge of SFC rules and guidelines and local regulatory requirements
  • Strong communication skills with the ability to communicate with all levels of stakeholders
  • Excellent command in spoken and written English and Chinese, fluency in Mandarin

Interested candidate(s) please send in your full resume, stating current and expected salary, and availability in Word Document format to us.  

It is the corporate policy of Leadership Solutions Limited to achieve full compliance with the obligations and requirements of the Personal Data (Privacy) Ordinance. The privacy policy and personal information collection statement can be found in our website. All information received will be kept in strict confidence and only for employment-related purposes.     

Additional Information

Career Level
Not Specified
Qualification
Not Specified
Years of Experience
Not Specified
Job Type
Full Time, Permanent

Company Overview

Founded in Hong Kong since 2003 to serve businesses in Asia Pacific, including Greater China Region, Leadership Solutions offers a fully integrated suite of services in senior executive search and professional recruitment.

Additional Company Information

Benefits & Others
Five-day work week, Medical insurance