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VP, Compliance

  • Location: Hong Kong
  • Salary: Negotiable per annum
  • Job Type:Permanent

Posted 18 days ago

  • Sector: Corporate Governance
  • Contact: Calvin Chan
  • Start Date: ASAP
  • Expiry Date: 04 July 2021
  • Job Ref: JN -062021-460245

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.


  • 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


  • 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>