VP, Compliance ( Cash Equities) – Global Risk recruitment
ResponsibilitiesProviding day-to-day compliance advisory services to the Equities business regarding the Firm’s policy, relevant regulatory requirements, and industry best practiceAdvising business on new rules and regulations which affect their businessCoordinate with different teams to ensure the appropriate controls, policies and procedures are in place for current and new businessesIdentify and resolve any compliance risks attached to the Equities businessDeal with ad hoc compliance issues and provide support to both front office and back office staff;Investigate and handle investigations Read more […]
February 26, 2012
• Tags: Compliance ( Cash Equities), Equities careers in the Hong Kong SAR, Global Risk recruitment, VP • Posted in: Financial • Comments Off on VP, Compliance ( Cash Equities) – Global Risk recruitment