Compliance Director-Securities Firm

  • Negotiable
  • Hong Kong
  • CDI, Plein-temps
  • Morgan McKinley Hong Kong
  • 17 nov. 17 2017-11-17

As a global professional recruitment consultancy, Morgan McKinley connects specialist talent with leading employers across multiple industries and disciplines. We have established ourselves as a preferred supplier to many of the major players in our specialist sectors, as well as with thousands of smaller local employers. In Hong Kong, we recruit within the following sectors: Accounting & Finance, Banking and Financial Services, Human Resources, IT, Risk, Compliance, Legal & Audit, Office Support and Sales & Marketing.

Reporting into senior management, the candidate's responsibilities will include:

  • SFC regulatory work including SFC license type 1,4, and 9
  • Perform AML/KYC duties as needed
  • Review marketing materials for new product launch and marketing materials from a compliance perspective
  • Provide professional compliance advice to front line and upper management
  • Prepare ad hoc compliance training to staff as necessary
  • May have to handle ad hoc company secretary duties

The ideal candidate will have:

  • University Degree in Finance,Risk,Law, or related discipline(s)
  • 6-8 years compliance experience, preferably strong SFC license type 1,4,9 experience
  • Prefer strong compliance experience from Securities/Brokerage
  • Must be able to work independently in this stand alone role
  • Good communication skills in english and chinese