Compliance Officer
This is a newly created position and you will play an integral part in overseeing a diverse range of compliance issues related to the HK Investment Banking business.
The Role
Reporting to the Team Head, you will be fully responsible for:
- Conducting surveillance for sales trading activities of various business lines including equities trading and derivative warrants
- Reviewing marketing materials of investment products to ensure compliance with relevant legislation and guidelines
- Keeping abreast of new regulatory changes and development and ensuring compliance awareness across other business units
- Participating in compliance testing and implementation of systems to fulfill any new regulatory requirements
The Successful Applicant
You will be a University Graduate holding a degree in law and/or economics with at least 3-5 years’ experience gained within a financial services compliance function. You will possess sound knowledge of SFC related rules, codes and guidelines and have strong communication, analytical and leadership skills. Hands on experience with product compliance will be an advantage. Fluency in English is essential.
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/9421)
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