Compliance Manager – Equity/Advisory/Derivatives/IBank/Hong Kong recruitment

Compliance Manager – Equity/Advisory/Derivatives/IBank/Hong Kong

Our client, a well-established bank, is now seeking a driven, passionate and professional Compliance Manager to join their Equity Advisory Compliance team. This is a unique opportunity to join one of the market leading global Investment banks, focusing your development in General Compliance.

Job function:
•Participate in regular meetings with Heads of business line/COOs to understand business development
•Participate in regular meetings and co-ordinate with Compliance Officers from other Asian countries to update on new regulatory development and to discuss cross-border matters
•Attend New Product Committee workshops and to work with Compliance senior management in reviewing and approving the new products applications from Compliance perspective
•Review sale/marketing materials from Compliance perspective
•Conduct compliance training
•Warrant business –handling of complaints/HKEx enquiries/warrant forum/warrant monitoring
•Market making of stock options /position limit renewal application
•Provide adhoc compliance advice to business lines
•Handling of SFC regulatory requests –section 181
•HKEx general liaison work
•Handling of SFC proposed licensing conditions
•Involvement in SFC/HKEx consultation projects

Qualifications:
•University degree in Law, Accounting, Finance or other related discipline.
•5+ years APAC compliance equities advisory experience, derivatives advisory experience preferable
•Excellent command of both written and spoken English
•Good communicator; team player; project management skills
•Proficient in MS Office
•Ability to prioritize and handle complex compliance related projects.
•Good knowledge of financial products.
•Strong research, organizational, problem solving, and project management skills.

Excellent career development prospects with a competitive package between 85,000 and 100,000HKD per month, including annual leave, medical benefits (clinical, hospital dental). If you are ready for a new challenge in your career, please don’t hesitate to apply.

Compliance Manager – Equity/Advisory/Derivatives/IBank/Hong Kong