Registrations & Licensing : Investment Banking Compliance – Temporary to Permanent Contract recruitment
My client a Top Tier Investment Bank is looking for a temporary to permanent compliance professional to join their Registrations and Licensing Team.
This is a great opportunity to step into a role responsible for working with internal trading teams and external regulators. Although initially this is a 6 month contract, the organisation is renowned for ensuring the conversion to permanent or an extension of the contract within the same space.
This role offers broad exposure to all product areas and you will be expected to face-off to senior professionals both internally and externally.
Responsibilities
- Understanding and advising on individual licensing requirements on a cross divisional regional basis
- Maintaining a register of licensed/ accredited individuals and implementing appropriate checks and monitoring to ensure that all individuals performing regulated activities are appropriately licensed
- Managing license applications, deregistration maintenance requirements for all licensed/ accredited individuals, including liaison with HR, background checkers and regulators
- Ensuring that all licensed/ accredited individuals are aware of the scope of their license and respective permitted/ prohibited activities, and providing training as appropriate
- Aligning regional licensing practices with global best practices as appropriate and acting as a representative in global forums on licensing matters as required from time to time
- Overseeing and driving the gradual revamp of the current licensing regime through IT enhancements and improved processes
Qualifications
- 5+ years experience
- Background in registrations licensing preferred but would consider individuals with some exposure to this space and a background in general compliance
- Strong communication and analytical skills
March 11, 2012
• Tags: Compliance, Legal careers in the Hong Kong SAR, Registrations & Licensing : Investment Banking Compliance, Temporary to Permanent Contract recruitment • Posted in: Financial