Job Title

Vice President, Product Compliance

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Stella Huo

99 Active Positions

Job Description

 About Our Client

Our client is one of the leading Securities Groups with strong presence in Hong Kong and Asia. Owing to rapid growth and expansion, they are seeking high calibre candidates to join them.


Job Description

  • Update the Compliance policies & procedures and ensure the trading floor activities are regulatory compliant.
  • Update and follow the Hong Kong regulatory requirements, such as the Manager-In-Charge (MIC) compliance, Professional Investor Regime, Client Facilitations, Best Executions, OTC Derivatives reporting / clearing.
  • Update on the global regulatory development, such as FATCA, AEOI, MIFID II, Volcker Rule, etc.
  • Act as a contact point for developing new product related matters / National Product Catalogue (NPC)
  • Pro-actively involved in the cross-border activities regulatory compliance approval processes
  • Handle Japanese regulatory regime, such as MNPI, FW, COI, Mass holding, etc.



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



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