Client

A public listed financial services provider
specializes in commodities futures brokerage, financial futures brokerage,
futures investment consulting, asset management business and fund sales, etc.

Responsibilities

·
This position is appointed by
the Board of directors and is accountable to the Board.

·
Lead the department of
regulatory compliance, legal, general risk management and internal audit (or
any department applicable).

·
Supervise the compliance and
risk management of the company’s operation and management.

·
Supervise the establishment of
risk management framework and policies, assess the company’s risk management
procedures and review the efficiency and robustness of the entire mechanism.

·
Examine the compliance of the
company’s policies, rules and new business lines, facilitate the forming of
policies and procedures that adhere to relevant rules, laws, regulations and
administration requirements.

·
Exercise the power of reporting
significant issues to the Board.

·
Keep abreast to the changes of
regulations and policies of administration, parent firm and the group, and
facilitate the management of parent firm and the group.

Requirements

·
Familiar with local securities
and futures laws, exchange rules and regulatory policy.

·
At least 3 years of relevant
financial brokermso-ascii-font-family:"Times New Roman";mso-hansi-font-family:"Times New Roman"">，market maker or regulator experience which should include 2 years of
risk, legal and compliance, or audit experience and managerial or supervisory
experience.

·
Excellent verbal and written
communication skills in both English and Mandarin Chinese.

·
Experience in managing various
types of risks (i.e. credit risk, liquidity risk, operational risk) within a
financial institution.

·
Sophisticate in dealing with
legal, compliance and risk management issues of financial derivatives broker
and market maker.

·
Master’s degree in law,
finance, accounting or a related field is preferred.

·
Qualified to practice law in at
least one jurisdiction is preferred.

·
CFA, FRM, ACCA and other
professional qualifications preferred.