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Shanxi Securities International Financial Holdings Limited
November 7, 2020
As head of department to oversee general compliance, company secretary, legal and AML issues in relation to all regulated businesses
Review compliance regulations, policy and procedures and provide legal and provide compliance advisory to business initiatives
Monitor and oversee the day-to-day operations of Legal and Compliance Department and set up standard of procedures (SOP) and policies
Advise management and suggest improvements in compliance issues and systems, identify potential compliance risks of all business activities
Handle legal and related matters including review various contract, and coordinate with external lawyers on legal matters
Coordinate with relevant regulatory and authorities on regulatory compliance issues including handling compliant and investigation
Advocate compliance culture and provide internal training
At least 15 years of compliance experience in the banking
Good understanding of the compliance issues involved in AML, SFC, KYC & Control Room
Familiar with securities brokerage and investment banking lines of businesses and respective compliance regulations
Excellent leadership and communication skills with ability to handle pressure
Proficiency in spoken Putonghua and written Chinese and English
We offer competitive remuneration packages to the right candidate. Interested parties please submit your resume to Human Resources Department (1). by post to Unit A, 29/F., Tower 1, Admiralty Centre, 18 Harcourt Road, Admiralty, Hong Kong; or (2). by email to email@example.com. All applications will be treated in strict confidence and personal data provided by job applications will be used for recruitment purposes only.