Snr Compliance Manager – research – brokerage – Securities Firm recruitment
Duties:
Provide support to the business on regulatory compliance matters, raising issues to Senior Management and implementing corrective action plans, in particular to brokerage and investment banking businesses;
Participate in new product development and ensure that new products conform to regulatory and internal compliance policies;
Monitor new account opening procedure KYC review;
Review policies and procedures prepared by other departments and provide input to ensure compliance with applicable legal and regulatory requirements;
Advise management and business units on all compliance-related issues arising from business operations;
Perform ad-hoc compliance projects.
Requirements:
-5 years of working experience in compliance functionality in major financial institutions or regulatory authorities, preferably a Brokerage or Research capacity
-Excellent communications skill as need to talk to various business lines, Mandarin is a plus not a must
-University Graduate in Law or Finance related discipline
This is a chance to join a company that is expanding aggressively not just in Hong Kong and China but Globally. You will gain exposure across Asset Management, Brokerage and Corporate Finance at a Senior Level.
