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Bank Of China (Hong Kong) Limited

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Head of Compliance - Sell-Side
Responsibilities and Duties Act as the primary point of contact with regulatory bodies and exchanges on all regulatory compliance and financial crime matters. Monitoring the firm???s regulatory compliance Overseeing and maintaining the regulatory compliance framework, including the company???s compliance manual, policies and procedures and compliance registers. Preparing compliance reports for various management committees and attend meetings as required to address compliance issues. Providing guidance and advice on regulatory matters across the business, and highlight and/or escalate any areas of concern. Oversee the review and development of existing products and services. Manage the Compliance team and provide oversight and support to


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