Compliance Manager, International Brokerage
Our client is a global brokerage house with excellent industry expertise and primary technology to ensure the delivery of quality services to the clients
The Role
Reporting to the Head of Compliance, you will be fully responsible for:
- Implementation of new rules and compliance program within the firm
- Keeping abreast with the exchange rules and regulations relating to the business
- Maintaining a robust relationship with the regulatory body and to assist with visits, investigations and enquires
- Developing and delivering training program to all staff on compliance matters
- Providing compliance related advices to new product launches or market initiatives
- Conducting internal investigation and trade surveillance monitoring on breach of regulations and company policies
The Successful Applicant
You will be a University Graduate holding a degree in law and/or economics with at least 5 years’ experience gained within brokerage/banking compliance function. You will possess sound product knowledge on futures and options and be proficient with the HKMA rules and regulations. In addition, you will have strong communication, analytical and leadership skills. Hands on experience with brokerage businesses will be an advantage. Fluency in English is essential in this role.
Contact Us
Please press the APPLY button or email your CV to Christy Lam at c.lam@alsrecruit.com quoting the reference for a confidential discussion. For more Compliance positions, please visit our website (http://alsrecruit.com/) and contact us for details. (EF/9690)
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