Assistant Vice President, Compliance

3 days ago

hong kong, Hong Kong SAR China China Everbright Securities International Company Limited Full time

Assistant Vice President, Compliance (Product Advisory) Responsibilities: Advise management and relevant business units on compliance-related issues. Keep abreast of the latest legal and regulatory requirements and promote compliance awareness and culture. Assist the team in handling product advisory within relevant divisions, including Wealth Management, Asset Management, Forex, OTC and Corporate Insurance, and daily routine advisory such as product review, media review, marketing materials review and cross-border business. Review new products and services initiatives covering local and global markets, e.g., US and Japan, from a regulatory perspective. Prepare and establish compliance policies and procedures (P&P) and related guidelines, and review and comment on P&P, marketing materials, advertisements and other outputs prepared by other departments and business units to ensure compliance with internal, legal and regulatory requirements. Liaise with business, operations, IT and risk management units, auditors and regulatory authorities on compliance-related matters and issues. Qualifications: University degree in Accounting, Business, Law or related discipline. At least 5 years’ solid working experience in compliance, audit or related field in the financial services sector or with regulatory authorities. Experience in performing compliance or similar training, developing policies and procedures, and conducting compliance review and investigations. Sound working knowledge of structured products, e.g., equities, bonds, structured products and virtual assets related product rules, and good knowledge of regulations, codes and guidelines issued by SFC, HKIA and other regulatory authorities. Strong ethics, integrity and enthusiasm. Good leadership, excellent interpersonal, communication and presentation skills. Good command of written and spoken English and Chinese. Fluency in Putonghua is an advantage. We are an equal opportunity employer and welcome applications from all qualified candidates. All applications will be treated in the strictest confidence. Personal data provided will be used for recruitment purposes only. The job applicant will assume all or any risks arising out of or in connection with the job application transmission process prior to our actual receipt of the same, including but not limited to accidental or unauthorized loss or disclosure of personal information, to which we will not be responsible in any way. Under the Personal Data (Privacy) Ordinance, you may request access to, and/or correction of your personal data in relation to your application. If you wish to do so, please email to us. #J-18808-Ljbffr

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