EQUITIES COMPLIANCE

To manage the compliance risk associated with operating the businesses (equity finance, access products, stock borrow loan) in Hong Kong, working closely with Compliance Officers across the region whilst coordinating globally. Responsible for driving the management of compliance and regulatory risks, as well as ensuring the maintenance of relationships with senior business management. Simultaneously, to ensure consistent adherence with all elements of the global compliance program, including transaction and program advice relating to new and existing products, key policies, marketing methods, booking structures, and the impact of regulatory change. In addition you will work with business management to build and maintain control mechanisms in compliance with local laws and regulations.  Lead regulatory risk assessments, determining regulatory communication strategies and content, updating and establishing policies, and driving an appropriate training program in Hong Kong.

To qualify, you will be a degree holder and have a minimum of 8 years’ relevant product, regulatory or risk management experience gained within a financial institution or regulator in Hong Kong. Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with senior business leaders. Strong analytical, problem-solving and organizational skills, as well as the ability to manage several simultaneous projects. Ability to deliver high quality results as part of a geographically dispersed global compliance team, with a proven track record as a team leader who can manage multiple and often conflicting priorities.

Interested applicants should send a detailed resume to Michelle Ho by email to mho@ric.com.hk or by fax to (852) 2838 3323 quoting reference eFC2132.

(Applicants not contacted within 4 weeks should consider their application unsuccessful.)

June 24, 2013 • Tags:  • Posted in: Financial

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