Equities Compliance
- Large International Investment Bank
- Great Career Exposure
- Attractive Remuneration Package
Responsibilities:
- Providing advisory support to the Equities business (Equity Derivatives, Delta-1, Prime Finance, Structured Products, Syndicate etc) in different product groups (Cash Equities, Equity Derivatives, Structured Products, Futures Options, etc) regarding the Firm’s policy and the relevant securities and derivatives rules and regulations;
- Advising business personnel on new rules and regulations which affect their business;
- Establishing / updating policies and procedures in accordance with regulatory requirements and firm policy;
- Coordinating with Legal, New Products, Controllers, Operations, Risk, IT and other areas to ensure the appropriate controls and policies and procedures are in place for new businesses;
- Participating in compliance projects to cope with major global regulatory initiatives such as Dodd-Frank, EMIR;
- Providing compliance training for business personnel;
- Participating in related industry trade groups;
- Handling regulatory inquiries, examinations and audits;
- Developing an understanding of the systems used by the business units and working with internal IT and an external vendor to enhance the surveillance framework for Equities business.
Requirements:
- University-level Degree preferably in a relevant discipline (Finance, Accounting, Business, Legal);
- 3 to 5 years experience in global markets compliance, legal or regulatory functions possessing a broad knowledge of Equities products. Experience in a trading floor environment is a plus;
- An understanding of the key regulators in Hong Kong, their culture, policies and expectations and an ability to understand the potential impact of overseas regulatory development;
- Excellent negotiating and inter-personal skills; should be a solutions driven, confident, highly motivated and organized team player with impeccable integrity; should possess excellent issue spotting, analytical and resolution of conflicts skills;
- In addition, experience in dealing with sales, trading and capital market professionals and in advising such persons on real-time trading questions and scenarios;
- Should be able to act decisively and independently in situations requiring quick analysis;
- Excellent skill in spoken and written English. Mandarin and Cantonese would be added advantage.
To apply please click on the 'Apply online' button below or enter HK83843/CLAU in the Keyword section of jobsearch.hk.hudson.com or contact Christina Lau on +852 2919 6176 for a confidential discussion. Alternatively, email your resume to christina.lau@jobs.hudson.com quoting HK83843:APEFI /CLAU in the subject field. Interested parties are required to supply their valid HK ID No. or Passport No. (for overseas applicants).
Your interest will be treated in strict confidence and only shortlisted candidates will be notified.
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