Job Title

Vice president, General Compliance

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Stella Huo

99 Active Positions

Job Description

 Job Description

  • Update the Compliance policies & procedures and ensure regulatory compliance regarding licensing, AML, trade surveillance, and other compliance related activities.
  • Act as point of contact to SFC and provide support and advices on SFC licensing related matters, reporting, regulator’s on-site inspection, etc.
  • Act as Money Laundering Reporting Officer (MLRO) and advise Business regarding AML/KYC, transaction monitoring, investigation, etc.
  • Conduct annual review on compliance manuals, policies and procedures and the implementation of all relevant policies.
  • Prepare regulatory reports on compliance as well as other internal & external reports
  • Conduct internal monitoring & investigation on compliance.
  • Handle compliance requirements by head office, internal & external auditors
  • Review documents, such as pitch books & disclaimers, etc.
  • Conduct regular trade surveillance with focus on trading desk.


Job Requirement

  • Degree in Risk, Law, Audit or relevant discipline, with formal training in Laws and auditing preferably.
  • 8 years’ experience in Securities Firm or Financial Institution with SFC licence.
  • Good knowledge in SFC regulatory requirements, with experience in SFC and Japanese firms preferably.
  • In-dept knowledge of investment products, including FX products, Fixed Income products, OTC Derivatives products and other global market products.
  • Proficient in written and spoken English, Chinese and Japanese (Japanese is a must)
  • Good communication skills and interpersonal skills



  • Benefits and competitive package
  • Potential Bonus towards end of the year in accordance to performance
  • Promotion from within the company



For further information, please contact our Edward at 2523 9955.



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