VP - Middle Office Risks & Compliance

Location: Hong Kong
Job Type: Permanent
Industry: Investment Banking & Private Equity
Reference: 33447
Job Published: May 15, 2020
  • 5-7 years in Ops risk/ risk management/ internal control exposure on Sell/Buy-side
  • Familiar with Securities and Futures Ordinance (SFO)
  • Enhance daily processes, operations and work flow to ensure control effectiveness


  • Perform appropriate checking, initiate and implement control measures on the current workflow of Asset Management Department based on the regulatory and internal procedures and policies, while exercising good judgment in mitigating risk and following escalation procedures
  • Review, streamline and enhance daily processes, operations and work flow to ensure control effectiveness
  • Design and facilitate implementation of operational flows according to new or revised regulations and ordinances
  • Prepare and consolidate necessary information and data for internal departments or external parties for audit, reporting or other relevant purposes
  • Liaise with internal departments and external counterparties for daily issues and special/ ad hoc project



  • Degree holder in finance or relevant discipline
  • 5-7 years of experience in risk management and control of Asset Management/ Securities/ Banks, is familiar with Securities and Futures Ordinance (SFO)
  • Self-motivated, able to work under pressure and meet tight deadline Strong knowledge of financial products
  • Strong analytical and communication skills
  • Proficiency in written and spoken English and Chinese including Putonghua