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


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.


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)


  • 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
Job Functions: Banking / Financial Services / Insurance Legal / Governance / Risk / Compliance
Job Type: Full Time Permanent
Years of Experience: 7 Years

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