Compliance HK, Equities Compliance recruitment
Position Category: Legal/Compliance
Position Title: Compliance HK, Equities Compliance
Job Level: Associate
Location: Hong Kong - Hong Kong
Education Required: Refer to Position Description
Position Description:
We are looking for an Equities Compliance professional to join our Hong Kong-based Asia Pacific Regional Sales Trading Compliance team.
This role will primarily cover equities compliance (cash and derivatives products) with major responsibilities as follows:
- Projects. Assist with financial products' clearing and relevant projects.
- Advisory. Provide support on regulatory compliance issues, desk reviews and monitoring.
- New business initiatives. Support management in reviewing new business initiatives from a local regulatory, best practice and Firm perspective.
- Compliance policies and procedures. Offer assistance to revising and updating documentation in light of regulatory or business changes.
- Regulatory interaction. Help develop and manage the Firm??s contact and relationship with its regulators, ensuring that communications between the Firm and its regulators are open and constructive.
- Training. Provide assistance to management in developing training materials and implementing staff training.
Skills Required:
- 1-5 years of relevant experience with a top-tier financial institution or regulator covering equities (cash and derivatives) compliance activities.
- Priority will be given to HK-based candidates.
- Business level fluency in spoken Mandarin, reading and typing Chinese necessary.
- Knowledge of compliance requirements relating to market access products and listed derivatives in Asia-Pacific region (especially China) a distinct advantage.
- Suitable candidates may be hired at Analyst, Associate or Manager level and remuneration will be commensurate with their experience.