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Our Client is one of the largest securities/brokerage firm in Asia. They have business expanding in asset management, investment bank, and wealth management as well. They are currently looking for an AVP/VP level Compliance candidate to join their firm.
Working in a team of 10 for compliance and reporting directly to the Head of Compliance
Provide professional compliance advisory to the business especially for futures and securities
Act as the main point of contact with the SFC on all regulatory enquiries
Overview SFC licensing matters as needed
Update compliance policy and procedures
University graduate with a degree in finance/risk/legal or related discipline(s)
Must be fluent in English and Mandarin, read and write chinese.
Minimum 4-5 years compliance experience from securities and/or futures is prefered
Asset Management compliance experience are prefered