Head of Compliance (Brokerage), Regional Opportunity, 110k-130k recruitment
The Company
Our client is a global brokerage firm with a strong track record of success and excellence in the region. Due to expansions in the region, they are seeking an experienced compliance professional as part of their growth.
The Role
Reporting to the global head, you will be required to:
- Monitor staff movement and ensure and process individual staff licensing and regulatory updates
- Be available to provide ad hoc advice to front office and operational staff
- Undertake and develop the Compliance Monitoring and Surveillance program
- Liaise with Asian Compliance Officers to provide comprehensive compliance support and expert advice to the Equities business and provide monitoring updates to them as required.
- Liaise with the Risk and Compliance departments in Hong Kong and London to apply Group Risk policies and procedures
Your Profile
You will be a university degree holder in business, finance or other related disciplines. You should have at least 8-10 years of relevant working experience with a background within legal and compliance. A background in brokerage and investment banking would be preferred. Regional experience will be advantageous. Proficiency in English will be essential.
Apply Today
Send your resume (in WORD format) by clicking the apply button now. Please note that only short-listed candidates will be contacted.