Compliance, Vice President (1,4,6,9)

Compliance, Vice President (1,4,6,9)

Harbridge Partners Limited

Posted on 12-Dec-22

Job Highlights

• SFC full licensed firm, Compliance advisory, AML
• Regulatory liaisons, SFC, HKEX,
• Managing a team of 3-5

Job Description

Client:            

Our client is a well-known brokerage and market-making platform with SFC type 1,4,6,9 licenses. Their business covers secur,ities trading, wealth, management, asset management, and corporate finance.

Responsibilities:

Compliance, Vice President (1,4,6,9)

• Report any non-compliance in accordance with protocols and suggest actions for resolution, compliance improvement planning etc
• Manage the platform’s FATCA/ CRS compliance and another upcoming common reporting standard.
• Perform follow-up reviews to verify the implementation of recommendations from regulators, external and internal auditors, and assist in identifying compliance-related findings and issues.
• Review and approve marketing materials 
• Provides support for the development of compliance policies and procedures which meet compliance standards, and for the monitoring of implementation 
• Identify regulatory or reputational risks and escalate to senior management for resolution 
• Conduct training sessions on firm policies and procedures 
• Take a supporting role in strategic and policy issues regarding compliance and regulatory matters affecting the business in the country and/or region 
• Initiates, manages and executes global or regional compliance projects 
• Provide support for compliance-related risk assessment and control evaluations as requested
• Advise business line management and assist in providing solutions to potential problems or issues involving compliance or regulatory risk 
• Primarily support HK-based equities business, managing a team of 3-5.
• Work with legal, compliance and other support staff across the region and in other regions to advise on and address cross-jurisdictional compliance matters
• Design compliance surveillance programs and conduct compliance monitoring and reviews on products and business units under the VP’s responsibility area.  Reviewing and providing suggestions to enhance existing trade surveillance systems/reports.
• Manage projects to build and implement approved enhancement changes as well as changes required due to regulatory changes.
• Handle ad-hoc investigations, customer complaints, suspicious transactions reviews etc. 
• Liaise with the regulators on enquiries, onsite inspections, thematic reviews and investigations.
• Advise management and relevant business units on compliance-related matters/ issues, including the review of new products/ services from a compliance perspective.
• Conduct compliance monitoring and desk reviews to ensure compliance with regulations and internal policies 

Compliance, Vice President (1,4,6,9)

Requirements:

• Minimum of 7 years of experience in compliance.
• Previous sales and trading compliance experience in equities or wealth management is an advantage.
• Experience in providing compliance training to business units
• Experience in developing policies and procedures guidelines.
• Experience in conducting compliance reviews and investigations.
• Bachelor’s degree in any related discipline