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Our client is a leading financial services group in Asia. They are now looking for a VP Compliance candidate to lead the team.
Lead the Compliance Team and provide compliance advice
Review and update company policy and procedure to ensure the business is in compliance with all regulatory requirements
Develop and implement compliance monitoring review program covering all key regulatory risks and be able to make constructive suggestions to improve the internal control framework of the brokerage and research operations
Handle licensing requirements and inquiries from SFC and related regulators
Provide compliance training to business units and other relevant stakeholders
University graduated in Accounting, Finance, Business Administration or Law
Minimum 10 years of experience gained within the compliance function, SFC licensed corporation preferred; or a local or overseas banking or relevant financial supervisory body; or a professional legal or audit / accountancy firm with banking or financial services compliance / regulatory advisory experience
Strong compliance knowledge and familiar with all SFC rules and regulations