Director, Compliance (Deputy Head)

Our client, a leading SFC licensed firm (1 2 4 6 9), will be expanding their team and looking for a Deputy Head of Compliance for their team.

Responsibilities:

• Co-Lead and manage the securities compliance team
• Develop and implement policies and procedures related to securities compliance
• Monitor and analyze regulatory requirements and changes to ensure our company remains compliant with all relevant laws and regulations
• Conduct internal audits and risk assessments to identify potential compliance issues and develop remediation plans as needed
• Provide training and support to employees on securities compliance-related matters
• Collaborate with legal counsel, management, and other stakeholders to manage securities compliance risks
• Prepare and submit regulatory reports as required
• Stay up-to-date with industry trends and best practices related to securities compliance

Qualifications:

• Bachelor's degree in business, finance, or a related field
• 10+ years of experience in securities compliance or a related field
• Strong knowledge of relevant laws, regulations, and industry standards
• Excellent analytical and problem-solving skills
• Strong attention to detail and organizational skills
• Strong communication and interpersonal skills - able to speak Mandarin, English and Cantonese
• Ability to lead and manage a team effectively

Interested parties, please reach out to elaine.chu@ambition.com.hk or call 3103 4366 for a confidential discussion.

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