Banking & Financial Services

VP, Compliance - Securities Firm

Job details

Location: Hong Kong S.A.R
Job Type: Permanent
Reference: VPCSH/NR230523
Posted: 19 days ago

Job description

  • Oversee Control Room functions to (i) comply with requirements of Disclosure of Interests under SFO and the relevant SFC Codes; and (ii) handle research and conflict clearance.

  • Lead and manage the IBD compliance function with full ownership on the advisory work;

  • Work closely with our Investment Banking Division (IBD), which includes but not limited to Corporate Finance, M&A, ECM, DCM, Principal Investment, Asset Management departments;

  • Be able to play an internal regulator/adviser role with Control Room function on ongoing projects and investment activities;

  • To identify and anticipate potential risk on regulatory matters and impacts on the financial market operations;

  • Be able to mitigate regulatory risk and breaches with recommendations;

  • Provide regulatory interpretation for the business units;

  • Provide compliance advise to Front Office and respond to BAU queries;

  • Work with senior stakeholders to ensure efficiency in compliance controls and measure;

  • Build and maintain strong relationships with regulatory bodies.

  • Ad hoc tasks on request.



  • Qualification - University degree in Accounting, Business, Law or related discipline

  • Experience - 7 years solid experience in compliance, audit or related field in the financial services sector or with regulatory authorities

  • Experience in performing compliance or similar training, development of policies and procedures (and related guidelines), and the conduct of compliance review and investigations.

  • Knowledge / Other- Sound working knowledge of (i) the SFO and subsidiary regulations; and (ii) other regulations which may be relevant to business activities (e.g. those enforced by CIB, MPFA, SEHK, HKFE).

  • Good command of written and spoken English and Chinese. Strong ethics, integrity and enthusiasm.

  • Good leadership, communications (oral & written), interpersonal, analytical and presentation skills


If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan,


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Image 2022 02 26 T04 57 33