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Banking & Financial Services

VP, Regulatory Compliance Team Lead (SFC 1 4 6 9)

Job details

Location: Hong Kong S.A.R
Job Type: Permanent
Discipline:
Reference: VPRCTLSFC1463/EC151223
Posted: 3 months ago

Job description

​Our client, a well established PRC firm, is looking for a VP, Regulatory Compliance Team Lead.

Responsibilities:

  • Lead a team of 5 compliance staff to assist with licensing, performing compliance reviews and responding to SFC inquiries

  • Monitor client trading platforms and increase staff awareness for compliance

  • Identify and recognize compliance risks

  • Liaise with regulators and internal stakeholders to increase compliance awareness

  • Other ad hoc projects as assigned by Head of Compliance

Requirements:

  • University graduate from a related discipline

  • 8+ years of compliance experiences from a leading SFC licensed firm (Type 1, 2, 4, 6, 9)

  • Team management skills preferred

  • Solid command of English and Chinese

Interested applicants, please reach out to Elaine Chu at Elaine.Chu@charterhouse.com.hk.

Only shortlisted applicants will be notified.

Image 2022 02 26 T04 57 33
Image 2022 02 26 T04 57 33