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Vice President / Director, Compliance

Hong Kong
Job Type
8 Sep 2022


  • Advise business stakeholders e.g. from securities brokerage, global markets and wealth management business in relation to compliance and AML matters
  • Conduct periodic and ad-hoc review and update of AML-related and other internal policies and procedures
  • Develop and implement relevant compliance monitoring program and perform internal investigation as required
  • Prepare and submit suspicious transaction reports to the relevant authorities
  • Handle requests and enquiries from regulators
  • Deliver ongoing internal training on AML and other compliance related topics as appropriate


  • Self-motivated, able to work independently and collaboratively in a highly dynamic environment
  • Sound knowledge in rules and regulations administered by the SFC, compliance best practices, AML/CFT as well as securities business
  • Strong analytical skills with ability to make prompt and accurate recommendations
  • Good interpersonal and communication skills
  • Degree holder in Law, Accounting, Finance, Business Administration or related discipline
  • Over 5-year solid work experience in regulatory, AML or brokerage compliance preferably in Chinese financial institutions or regulatory bodies
  • Proficiency in both written and spoken English and Chinese (including Mandarin)
  • Immediately available is highly preferred

We offer attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present & expected salaries and date of availability to Human Resources Department by clicking "APPLY NOW".

Further information about our group companies can be found at and .

All applications will be treated in the strictest confidence and personal data collected will be used for recruitment purpose only.

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