Compliance & Legal – Business Advisory Compliance – VP

About Us

Huatai International Financial Holdings Company Limited (“Huatai International” or “the Company”), is the only overseas wholly-owned or controlled subsidiary of Huatai Securities. Huatai International is the Huatai Group’s international arm which plays as a crucial role in the group's internationalization strategy by:

a) not only providing offshore capital market services (and a global business platform) but also provides onshore clients with valuable cross-border capital market services (aligned with the mainland China government’s policies and commercial intentions);

b) actively making use of Huatai Securities’ leading position, distribution network and customer base in mainland China;

c) integrating on a global basis across many jurisdictions and regions, a successful and fully integrated international financial platform with innovative financial services solutions.

Huatai International operates as a holding company for consolidating all of the group’s cross-border businesses and companies under one umbrella, offering a truly unified and international business platform. In recognition of such international strength, the renowned international rating agency Standard and Poor’s has assigned Huatai International a “BBB+” rating (for long term) and “A-2” (for short-term).

Job Description

• Provide Compliance coverage for the Private Wealth Management and Fintech & Retail businesses
• Provide timely and effective compliance advice to business personnel of all levels, with regards to the rules, regulation and internal policies that govern their businesses.
• Participate in the validation process for new products/processes/activities.
• Develop and conduct risk-based compliance testing of existing procedures and controls to identify, detect, and correct noncompliance.
• Assisting with the interpretation and implementation of new rules/regulation.
• Provide compliance training to business and supporting staffs.
• Handle enquiries, inspections, audits from regulators and external parties
• Maintain and update compliance manuals, policies, and procedures to ensure they remain current with regulatory changes.
• To perform other compliance related ad hoc assignments as required.

Qualifications

• University degree holder in Law, Accounting, Finance, or related field.
• Minimum 8 years’ relevant experience in Compliance, Legal or regulators, preferably with exposure in securities and/or investment banking industry.
• In-depth knowledge of Hong Kong regulatory requirements and market practices related to Private Wealth Management and Retail businesses.
• Proficient in MS Word, including Word, Excel and PowerPoint.
• Bilingual with proficiency in both Chinese (Mandarin) and English Mature, thoughtful, strong analytical and problem-solving skills with an aptitude for technology.
• Proactive and strong team player with strong interpersonal, coordination and communication skills.
• Flexible with the ability to multi-task.