Job Description

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).

Responsibilities:

• Advice front line staff on internal control and compliance issues and provide necessary guidance to PWM staffs on relevant compliance requirements;
• Act as the main contact person to group Risk, Internal Audit, Legal and Compliance Department for all relevant matters related to PWM;
• Ensure effective implementation and adherence to all compliance policies;
• Draft and/or review all relevant policies and procedures within the business line and provide compliance advice;
• Handle internal and external audit requests;
• Provide training and regulatory updates to front line staffs;
• Perform ad-hoc projects as assigned

Requirements:

• Degree holder in Business, Finance, Law or other related disciplines;
• Minimum 8 years of legal and compliance experience from financial institutions;
• Sound knowledge in securities laws and regulations;
• Excellent communication and interpersonal skills;
• Strong business sense and problem-solving abilities;
• Detail oriented and able to multi task and work under pressure;
• Proficiency in spoken and written Mandarin and English.