Equities Compliance Advisory – Global Investment Bank recruitment
Job Description
- Assist in development and maintenance of compliance policies and procedures.
- Conduct desk reviews and supervision of marketing activities.
- Assist in compliance training to the business.
- Implement appropriate compliance infrastructure and controls.
- Assist in risk assessments and provide efficient and practical advice.
- Assist in providing advice on new product and new business structures.
- Assist in risk identification of regulatory changes or business developments.
The Successful Applicant
- 5-8 years of banking experience in which 3-4 years are in compliance or SFC candidates with Intermediaries Supervision Department (ISD) experience with at least 1 year equities product knowledge
- Minimum of 1 year experience in Equity compliance is a MUST
- Cash equity product knowledge is a plus
What's On Offer
- Expanding business
- Competitive compensation package commensurate to experience
Apply for this job
Apply online using the form below or phone Rouella Landicho on + 852 2530 6100 quoting jobref H1225650
March 14, 2012
• Tags: Equities careers in the Hong Kong SAR, Equities Compliance Advisory, Global Investment Bank recruitment • Posted in: Financial