SENIOR COMPLIANCE ANALYST 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 a professional to join them.
Support the operation of the HK Compliance Program and be responsible for performing and overseeing daily monitoring of all trade activity for specific equity, fixed income and high income funds and accounts to ensure that their investment policy limitations are followed. Communicate client, regulatory, prospectus, board and internal policies to portfolio managers and traders. Develop and implement effective mechanisms to provide timely reporting and monitoring of complex investment strategies. Identify areas of risk, opportunities for improvement and will provide department management with information on current trends, issues recognized during assignments and will recommend plans for improvement. Manage the inside information Policy and Procedures, including establishing and removing information barriers. Prepare and oversee the preparation of periodic reports required by regulators. Provide portfolio monitoring coverage for portfolios trading.
To qualify for the position, you should be a university graduate with around 2 to 3 year of relevant compliance experience. Trading surveillance or oversight experience will be a plus. Solid understanding of compliance policies and procedures. Strong communication and analytical skills. Team player.
Interested applicants should send a detailed resume to Kelly Kam by email to kkam@ric.com.hk or by fax to (852) 2838 3323 quoting reference eFC2000.
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)