Markets – Front Office Advisory Compliance – Top Tier Investment Bank recruitment
My client, a Topt Tier Investment Bank is looking for an individual to join their Market Compliance group responsible for providing regulatory and product advise to the front office businesses.
This is a great opportunity to get business exposure and dealing with the regulators. The group sits close to the font office and is required to interacts with the business on a daily basis on any regulatory queries.
There is the potential in this role to diversify into different business areas and develop a solid foundation and career path within compliance.
Responsibilities include but are not limited to:
- Provide valued advice to Markets front line staff, Operations, Middle Back office on local regulatory requirements in respect of new products and new systems.
- Provide advice to Markets front line staff on internal Bank policy requirements.
- Assist the Business in rolling out new products, systems and policies in HK in APAC.
- Notify the Business, Operations and all relevant parties when new regulatory requirements come up and work with relevant parties to set up necessary work procedures, reporting or policies according to the new requirements.
- Facilitate communication with project teams, relevant parties and obtain necessary information of all new products and service requests effectively as documented by a NPAP.
Qualifications:
- 3+ years experience in control / compliance within Banking Financial Services
- Knowledge of banking rules and regulations in regards to securities
- Experience in product compliance
March 6, 2012
• Tags: Accounting & Finance careers in the Hong Kong SAR, Front Office Advisory Compliance, Markets, Top Tier Investment Bank recruitment • Posted in: Financial