VP, Business compliance (PWM), one year contract- renewable
Hays
Job Description
Join a leading Chinese securities firm in Hong Kong as VP, Business Compliance
Your new company
This is a top-tier Chinese securities firm with a strong international footprint across Mainland China, Hong Kong, the U.S., the U.K., and Singapore. The firm offers comprehensive financial services including wealth management, investment banking, and fintech solutions. It is regulated by the Securities and Futures Commission (SFC)
and recognized for its innovation and global connectivity.
Your new role
As Vice President of Business Compliance for the Private Wealth Management (PWM) divisions, you will:
- Manage daily interactions with regulators including the SFC.
- Lead compliance reporting, investigations, and regulatory reviews.
- Provide strategic compliance advice for business operations and development.
- Develop and maintain compliance policies and procedures.
- Monitor regulatory changes and deliver training to staff and management.
- Review new business initiatives and ensure regulatory approvals are obtained.
- Support ad-hoc compliance tasks assigned by senior compliance leadership.
What you'll need to succeed
- Degree from a top-tier university.
- At least 8 years of experience in compliance, audit, or regulatory roles within investment banking or securities.
- Strong understanding of Hong Kong securities regulations and market practices.
- Proven experience in regulator engagement.
- Bilingual proficiency in Mandarin and English.
- Analytical, proactive, and collaborative mindset.
- Knowledge of virtual assets and related regulations is a plus.
What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or share your profile to
rowina.lo@hays.com.hk.
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.
