Compliance Advisory Specialist Top Financial Institution recruitment
Key Responsibilities
• Advise management and relevant business units on all compliance-related matters/ issues.
• Control room coverage: conflict management, maintaining Chinese walls and crossings, research review (incl predeal), restricted/watch lists, deal management.
• Design compliance surveillance programs and conduct compliance monitoring/ review (including review of account opening / KYC documents) for retail, private and institutional clients and ad-hoc investigations.
• Ensure compliance functions within Hong Kong and Asia-Pacific operate so as to service management and business needs by setting an example as a commercially aware compliance resource and encouraging management to view compliance as such.
• Liaise and work with regional and local Compliance teams in providing comprehensive compliance advisory support to relevant businesses.
• Working knowledge of Cash Equities or Equity Derivatives products and related regulatory requirements will be useful.
• Solid understanding of relevant regulatory requirements, including Equity Exchange rules and procedures.
• Ideal candidates should have strong expertise within the compliance area with strong interpersonal skills.
Interested candidates kindly forward your updated Cv in word format asap to ajha@confero.asia For more details please call 25220797.