My client, a fast-expanding Asia-based investment bank is looking for a VP, Compliance to join the team. The VP, Compliance will focus on general compliance and licensing matters.
Responsibilities
- Handle SFC enquiries and licensing matters (including individual and corporate license)
- Keep abreast of regulatory developments and provide regulatory updates and compliance advice on business initiatives
- Work closely with internal stakeholders and regulatory authorities on compliance issues
- Assist in establishing and developing appropriate and effective internal compliance policies and procedures on any new regulatory requirements and business activities
- Monitor Personal Account Trading and External Mandates
- Assist in maintaining the watch list and restricted list
- Maintenance of CPT record and SFC Annual Return
Requirements
- Degree holder with at least 5 years of compliance experience in the securities industry
- Experience in handling Sponsor Principal license application is preferred
- Solid knowledge of SFC regulatory requirements
- Strong English skills preferred, excellent writing skills required
- Skills in reading and writing of Simplify and Traditional Chinese is a must
For more information, please feel free to contact Calvin Chan at +852 3695 5186 or send your CV to cchan<at>argyllscott.com.hk
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