COMPLIANCE MANAGER, EQUITIES GLOBAL MARKETS recruitment
Our client is a major global financial services provider engaged in investment banking, private banking and investment management services with an extensive international presence. To cope with their business expansion, they are seeking an outstanding Compliance professional to join them.
Support and assist senior line management in Hong Kong and the Asia Pacific region to comply with all relevant external regulations, codes of conduct and internal codes and policies, and good market practice. Ensure that compliance functions within Hong Kong and AP operate so as to service management and business needs by setting an example as a commercially aware compliance resources and encouraging management to view compliance as such. To liaise and work with regional and local business compliance in providing comprehensive compliance advisory support to relevant business. To monitor the activities to operate in such a manner and to take remedial action when necessary.
To qualify for the position, you should be a University graduate with around 5 years industry experience. Working knowledge of cash equities or equity derivatives products and related regulatory requirements. Good communication and interpersonal skills. Fluent in Cantonese and English.
Interested applicants should send a detailed resume to Kelly Kam by email to kkam@ric.com.hk or by fax to (852) 2838 3323 quoting reference eFC1931.
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)