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Our client is a top securities / brokerage is currently looking for a Compliance Director for their wealth management business. This person will lead a team of 2 and report to the group head of compliance.
Handling regulators inquiry, inspection and investigation
Take part in internal business compliance enquiries in relation to type 1,2,4,5,6, and 9 activities
Conduct annual compliance risk assessment and planning
Provide on-going and surveillance activities
Provide compliance advice and training to other department and senior management
Ad hoc task from senior management
Degree holder in finance, business administration or related disciplines
12 years of compliance experience at financial institutions including brokerage, securities, wealth management or regulator