Vice President, Compliance

  • Negotiable
  • Hong Kong
  • CDI, Plein-temps
  • China Everbright Securities International Limited
  • 13 déc. 17 2017-12-13

Ref: VP/C/131117EF/51


  • Perform the compliance functions related to the assigned business units and products
  • Oversee SHKF’s Control Room functions to comply with the requirements of Disclosure of Interests under SFO & the relevant SFC Codes and to handle research and conflict clearance 
  • Manage SHKF’s FATCA compliance and other upcoming common reporting standard
  • Monitor and provide compliance approval on SHKF’s staff dealing
  • Advise management as well as relevant business and functional units on relevant compliance-related matters / issues
  • Liaise with auditors, regulatory authorities, business, operation and risk management units on relevant compliance issues/ matters in the assigned business units / products
  • Review, establish and update compliance policies, procedures and related guidelines for the assigned business units / products; design and implement relevant compliance monitoring and reviews to ensure compliance with the applicable legal and regulatory requirements
  • Keep abreast of the latest legal and regulatory requirements and promote compliance awareness and compliance culture within the Company including development and delivery of compliance training programs
  • Participate in ad-hoc assignment as required


  • Degree holder in Accounting, Business, Law or related discipline
  • Minimum 7 years’ solid experience in compliance, audit and / or related experience in the financial services industry or with regulatory authorities
  • Experience in development of compliance policies & procedures and related guidelines, conducting compliance reviews/ monitoring or investigation and performing compliance trainings are preferred
  • Sound working knowledge of the Securities and Futures Ordinance and its subsidiary regulations as well as rules and regulations of the Hong Kong Stock Exchange, Hong Kong Futures Exchange, CIB and MPFA
  • Organized, hard-working and attentive to details, with a strong sense of responsibility and good common sense
  • Enthusiasm, strong self-motivation, personal integrity and ethics
  • Good leadership, analytical, problem solving, communication, interpersonal and presentation skills
  • Good command of both written and spoken English and Chinese

We offer a competitive remuneration package to the right candidate. If you are interested in the post, please send your resume together with your present and expected salaries by clicking "Apply Now". 


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