Associate, Equities Compliance, Investment Bank recruitment
The Company
A new opportunity for an Equities Compliance Associate has arisen within an investment bank which is undergoing significant change. This is an unusual opportunity for experienced Equities Compliance candidates.
The Role
- Monitoring equities surveillance activities and developing new surveillance programme;
- Indentifying compliance risks and providing advice to ensure compliance with relevant rules and regulations;
- Ensuring proper controls, policies and procedures are in place;
- Assisting in handling regulator's enquires and conducting internal investigations; and
- Conducting structured training to the Equities teams; and
- Assisting in ad-hoc projects as required
Your Profile
The successful candidate will be a degree holder in Law, Accounting, Finance or related discipline, with professional qualification is highly preferable. You must have minimum 3 years' post compliance working experience in legal and/or compliance in financial services industry with strong knowledge of the equities markets. You will have strong interpersonal and communication skills. Fluency in English and Cantonese a must, ability to speak other languages is a plus.
Apply Today
Send your resume (in WORD format) by clicking the apply button now. Please note that only short-listed candidates will be contacted.