VP, Compliance, International Research / Brokerage Firm

Job Title: VP, Compliance, International Research / Brokerage Firm
Contract Type: Permanent
Location: Hong Kong, Hong Kong
Salary: Negotiable
Reference: SW 18381_1551255320
Contact Name: Audrey Chang
Contact Email:
Job Published: February 27, 2019 16:15

Job Description

Leading international research / brokerage firm is seeking a compliance officer to assist with a broad range of compliance matters including monitoring, surveillance, advisory and core/central compliance matters. You will be responsible for overseeing the current compliance policies / procedures and enhancing these when required. This is a highly visible role with exposure to the front office.

The successful candidate will possess approximately 7-10 years of relevant experience gained with international financial institutions. Excellent communication and interpersonal skills are required. Experience gained in sales, trading or research compliance is required. Fluency in English, Cantonese and Mandarin is a prerequisite. A proactive mind-set is required with the ability to interact with senior stakeholders.

This would be a great step up for someone wanting to move into a role with more responsibility. Great working culture / environment on offer.

Suitable candidate should contact Sonny Wong at for a confidential discussion.