Compliance Advisor - Green Lake Executive Search Co. Limited

某銀國際招募Compliance Advisory， AVP- VP 級別， 要求有券商經驗，base HK，

有興趣請聯絡Katherine ***微訊號：Katherine_Shiu，歡迎轉寄自薦

AVP/VP, Compliance Advisory and Regulatory Management

Division

Internal Control and Legal & Compliance

Job Function

Core Compliance Team

The Role

AVP/VP, Compliance Advisory and Regulatory Management, Internal Control and Legal & Compliance

Key Accountabilities

1. Support and provide expert compliance advice to our operations and lines of business, Including but not limited to, securities brokerage and trading (equity sales, derivatives, and fixed income), commodities, virtual assets, trust services, and any other new business Initiatives, etc;
2. Provide professional advice on regulatory interpretation and compliance issues in the business coverage area including new businesses, products/ services and infrastructure initiatives from regulatory compliance, governance and best practice perspective;
3. Provide guidance to Core Compliance Team members and internal departments on conducting compliance monitoring to access business's ongoing compliance with key compliance risks;
4. Conduct regular risk reviews, assessments and deep dives of risk, control and issue profile. Actively manage and resolve issues, identifying opportunities to enhance and optimize the firm's policy and procedures in compliance management;
5. Review of compliance policies and procedures to ensure they are properly updated as and when necessary, support the regulations analysis and interpretation;
6. Handle licensing matters and other regulatory reporting and inquires as required by the regulators, and manage relationship with regulators and all regulatory related affairs;
7. Deliver training, knowledge communication to support the internal departments in relation to SFC requirements, market conduct, case studies and market updates. Promote a strong culture of compliance across the firm;
8. Assist in ad hoc projects as required by team lead and management. Perform principal accountabilities and manage a varied workload on a timely basis.

Skills & Experience

1. Degree holder in Business, Finance, Law or other related disciplines;
2. Minimum 8 years of compliance experience in securities brokerage companies/ regulatory compliance or financial institutions;
3. Candidates with over 2 years of full time working experience in Hong Kong or overseas is considered as an advantage;
4. Sound working knowledge of equities, derivatives, structured products, fixed income and commodities businesses, and securities business operations;
5. Robust and solid understanding of SFC Code of Conducts, licensing and relevant regulatory requirements;
6. Familiar with compliance advisory and new product/ business review is an advantage Proficiency in written and spoken English, Cantonese, and Putonghua is a must;
7. Excellent communication and presentation skills;
8. Proactive working attitude and strong team player with strong interpersonal and analytical skills;
9. Responsible, hardworking, well-organized and able to work under pressure;
10. Immediately available is preferred.