Assistant Vice President, Compliance and Internal Control, Securities Department

Responsibilities

• Monitor the implementation of internal control systems related to securities.

• Identify and report any compliance and internal control issues.

• Provide training on securities-related internal controls and compliance issues to the team.

• Monitor the latest changes required by regulatory bodies and internal risk management departments, complete gap analyses related to securities, various risk control self-assessments, and other risk and compliance-related tasks.

• Regularly review securities-related business processes and systems, and continuously improve relevant policies and procedures.

• Collaborate with internal compliance and risk departments, or external institutions, to conduct compliance, audit, risk reviews, follow up on rectification projects, and optimize processes.

• Monitor suspicious securities trading and reporting.

Requirements

• Bachelor degree in law, risk management, economics, finance, or a related field

• At least 8 years of experience in risk management for securities businesses

• Qualification in ECF is preferred

• Good communication and coordination skills

• Familiar with the regulatory requirements of the Hong Kong Monetary Authority (HKMA), the Securities and Futures Commission (SFC), and the Hong Kong Stock Exchange