CONTROL ROOM MANAGER, COMPLIANCE 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 the senior line management in complying with all relevant external regulations, codes of conduct, internal codes and policies, and good market practices. Ensure that Control Room compliance functions within Hong Kong and Asia-Pacific operate so as to service management and business needs by setting an example as a commercially aware compliance resource and encouraging management to view Compliance as such. Assist in the system development of control room processes. Smoothly handle research and conflicts clearance. Provide compliance approval for staff dealing. Liaise and work with regional and local business Compliance
To qualify for the position, you should be University graduate with at least five years’ solid experience in the compliance industry, preferably working in an investment bank Control Room environment. Sound knowledge of the banking regulatory framework. Good understanding of the public/private side and Chinese Wall concept. Strong analytical and problem-solving skills. Solid communication and interpersonal skills. Ability to work well under pressure. Fluency in Cantonese and English, along with the ability read and write Chinese, with Putonghua proficiency an advantage.
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 eFC1988.
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)