Vice President

2 days ago


Hong Kong, Hong Kong SAR China Larson Maddox Full time

CLIENT BACKGROUND

We are seeking an experienced and strategic Compliance Vice President to join our team. The successful candidate will oversee all compliance-related activities, ensuring that our operations adhere to regulatory requirements and internal policies. This role requires a seasoned professional with a deep understanding of the financial industry and a proven track record in compliance management.

JOB RESPONSIBILITY

  • Develop, implement, and maintain compliance policies and procedures.
  • Monitor and assess the effectiveness of compliance programs.
  • Ensure the brokerage's operations comply with relevant laws and regulations.
  • Conduct regular compliance audits and risk assessments.
  • Provide guidance and training to staff on compliance matters.
  • Liaise with regulatory bodies and external auditors.
  • Stay updated on regulatory changes and industry best practices.
  • Report to senior management and the board on compliance issues and developments.

JOB REQUIREMENTS

  • Minimum of 10 years of experience in compliance, preferably within the financial services industry.
  • In-depth knowledge of international regulatory frameworks and compliance standards.
  • Strong leadership and management skills.
  • Excellent analytical and problem-solving abilities.
  • Effective communication and interpersonal skills.
  • Ability to work independently and as part of a team.
  • Relevant certifications (e.g., CAMS, CRCM) are a plus.


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