Equities Compliance recruitment
- Equities Compliance
- Good Career Opportunities
- Excellent Salary Benefits
Our client is a leading European Investment Bank with a strong compliance culture and an established regulatory framework. To continue the development of their Compliance function, an outstanding opportunity has arisen for an experienced Securities Compliance professional to join the team in Hong Kong.
Reporting to the Head of Securities Compliance, your primary focus will be on the Hong Kong Equities business. As a compliance advisor, you will provide support to the Sales and Trading business, responding promptly to compliance queries raised. In addition, you will monitor the daily equities surveillance activities and identify any exceptions to regulatory requirements and policies. You will keep abreast of regulatory developments and advise the business on potential implications. Working as a partner to the business, you will deliver structured training to the Equities teams and participate in strategic regional business and compliance initiatives. You will assist with development of internal policies and procedures specific to the Equity business. As a member of the Regional Securities Compliance team you will also help provide wider coverage to support colleagues on an ad hoc basis.
To qualify, individuals must possess:
- A university degree
- Minimum 8 years relevant experience in Compliance gained in Investment Banking, Brokerage or Regulatory Bodies
- Strong understanding of Hong Kong regulatory requirements
- Good knowledge of Equities products, Cash or Derivatives
- Excellent interpersonal skills with strong comfort in interacting with senior management and regulators
- Fluency in English and Chinese
Contact Mark Moorby on (852) 3101 3066 or APPLY NOW by clicking the button below quoting reference number MM17880 www.ambition.com.hk
Data provided is for recruitment purposes only