REGIONAL HEAD OF EMPLOYEE TRADING & INFORMATION BARRIER – SURVEILLANCE, COMPLIANCE recruitment
Our client is a major global financial services provider engaged in investment banking, private banking and investment management services with an extensive international presence. To cope with their business expansion, they are seeking an outstanding Compliance professional to join them.
Coordinate regional compliance oversight of policies and procedures which govern Employee Trading and Information Barrier Surveillance. Proactively assess surveillance results and to identify control concerns or surveillance weaknesses. Assess the effectiveness of established Compliance Surveillance and work with counterparts to implement targeted enhancements. Assume broad oversight for Surveillance activities. Oversee the activities of a team that responsible for overseeing regional compliance with respect to Employee Trading, Outside Business Interest/ Directorship etc.
To qualify, you will be a degree holder and have a minimum of 10 years in the financial services industry with experience in a compliance, control, internal audit or operational risk management. Strategic. Strong communication and presentation skills. Highest level of integrity. Ability to build rapport with key business partners.
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 eFC2018.
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)