Compliance Advisory Specialist Top Financial Institution recruitment
Key Responsibilities• Advise management and relevant business units on all compliance-related matters/ issues.• Control room coverage: conflict management, maintaining Chinese walls and crossings, research review (incl predeal), restricted/watch lists, deal management.• Design compliance surveillance programs and conduct compliance monitoring/ review (including review of account opening / KYC documents) for retail, private and institutional clients and ad-hoc investigations.• Ensure compliance functions within Hong Kong and Asia-Pacific operate so as to service management and business Read more […]
June 7, 2012
• Tags: Compliance Advisory Specialist Top Financial Institution recruitment, Risk Management careers in the Hong Kong SAR • Posted in: Financial • Comments Off on Compliance Advisory Specialist Top Financial Institution recruitment