Vice President / Associate, Central Compliance

GF Holdings (Hong Kong) Corporation Ltd; Hong Kong Island; On-site; HKD 1,000,000 - 1,800,000; Full time

Job summary

GF Holdings (Hong Kong) Corporation Limited seeks a Vice President / Associate for Central Compliance to lead planning and execution of the compliance monitoring program and oversee transaction reviews and trade surveillance. You will coordinate regulatory requests and prepare concise regulatory communication with regulators in Hong Kong.

You will support training, management reporting and dissemination of latest regulatory requirements to business units, while maintaining strong written Chinese

Qualifications

• Degree holder in Law, Finance, Accounting, Corporate Governance or related disciplines.
• Strongly self-motivated, quick learner and able to work independently in highly dynamic environment.
• Strong analytical and Chinese writing skills, in particular, formal Chinese report drafting.
• Good interpersonal and communication skills.
• Sound knowledge in rules and regulations administered by the SFC, HKEX and Insurance Authority (IA).
• Minimum of 3 years solid experience in compliance monitoring preferably in Chinese financial institutions or regulatory bodies.
• Immediately available is highly preferred.

Responsibilities

• Assist in planning, development and execution of compliance monitoring program, transaction reviews and/or trade surveillance.
• Perform compliance monitoring and reviews to ensure compliance with applicable legal and regulatory requirements and group policies, and assist senior compliance officer in the drafting of conclusion report with appropriate recommendations on compliance issues and findings as identified.
• Handle regulatory requests such as reporting, inquiries, investigations and inspections and ensure smooth, accurate and timely communication with regulators.
• Handle staff declarations on personal account trading and outside engagement and carry out relevant monitoring according to the internal group policies.
• Assist in preparing regular and ad-hoc compliance management reports.
• Assist in developing and implementing compliance training program.
• Disseminate latest regulatory requirements to relevant business and support units and follow-up with the respective units on implementation plan, if required.

Skills

Regulatory knowledge

Analytical skills

Chinese writing

Communication

Independent work

Regulatory reporting

Education

Bachelor's degree in Law, Finance, Accounting, Corporate Governance or related disciplines

Job description

Vice President / Associate, Central Compliance

Assist in planning, development and execution of compliance monitoring program, transaction reviews and/or trade surveillance

Perform compliance monitoring and reviews to ensure compliance with applicable legal and regulatory requirements and group policies, and assist senior compliance officer in the drafting of conclusion report with appropriate recommendations on compliance issues and findings as identified

Handle regulatory requests such as reporting, inquiries, investigations and inspections and ensure smooth, accurate and timely communication with regulators

Handle staff declarations on personal account trading and outside engagement and carry out relevant monitoring according to the internal group policies

Assist in preparing regular and ad-hoc compliance management reports

Assist in developing and implementing compliance training program

Disseminate latest regulatory requirements to relevant business and support units and follow-up with the respective units on implementation plan, if required

Qualifications

Degree holder in Law, Finance, Accounting, Corporate Governance or related disciplines

Strongly self-motivated, quick learner and able to work independently in highly dynamic environment

Strong analytical and Chinese writing skills, in particular, formal Chinese report drafting

Good interpersonal and communication skills

Sound knowledge in rules and regulations administered by the SFC, HKEX and Insurance Authority (IA)

Minimum of 3 years solid experience in compliance monitoring preferably in Chinese financial institutions or regulatory bodies

Immediately available is highly preferred

GF Securities (Hong Kong), which includes GF Holdings (Hong Kong) Corporation Limited and its subsidiaries, is the core platform for GF Securities Co., Ltd. to implement its globalization strategy.

GF Securities (Hong Kong) thrives to become a leading Chinese securities firm with Asia focus, Chinese expertise, and Greater Bay Area characteristics.

After nearly 20 years of development, GF Securities (Hong Kong) provides comprehensive financial services, including global securities, investment banking, wealth management and brokerage, and investment management, to global and local enterprises, institutions, retail, and high-net-worth clients.

GF Securities (Hong Kong), which includes GF Holdings (Hong Kong) Corporation Limited and its subsidiaries, is the core platform for GF Securities Co., Ltd. to implement its globalization strategy.

GF Securities (Hong Kong) thrives to become a leading Chinese securities firm with Asia focus, Chinese expertise, and Greater Bay Area characteristics.

After nearly 20 years of development, GF Securities (Hong Kong) provides comprehensive financial services, including global securities, investment banking, wealth management and brokerage, and investment management, to global and local enterprises, institutions, retail, and high-net-worth clients.