Our client, a Reputable Financial Institutional, is looking to hire a high caliber to join as an AVP- Compliance Testing under Regulatory Compliance division. This incumbent will be reported to SVP of Monitoring and Testing team.
- Assist in the design and development of the compliance second line of defence monitoring and testing program for the firm.
- Plan and execute reviews of the organization's divisions to ensure compliance with regulatory obligations, relevant rules and expectations
- Ensure that the monitoring and testing program is executed consistently across the firm's second line of defence functions.
- Work collaboratively with the firm's compliance teams to execute deliverables successfully.
- Keep abreast pf changes in relevant laws and regulations to the firm, industry best practices, and changes to business activities and products.
- University graduated in Finance, Business Administration, Law or relevant disciplines.
- Minimum 7 years' experience in regulatory, inspections and/ or policy development gained from investment bank or regulatory authority; Audit/ Inspections experience preferred.
- Knowledge of the operations and regulation of the local securities, futures and commodities markets; with knowledge in China regulatory requirements is an advantage.
- Strong conceptual, analytical, interpersonal, communication and presentation skills and attentive to details.
- Strong communication and interpersonal skills.
- Fluency in written and spoken English and Chinese (both Cantonese and Mandarin)