SVP, Equities Compliance recruitment
Attractive SalaryExcellent Career ProspectsAbout our ClientOur client is a stable banking group with well-established business in the region. They are now looking for a high-caliber, mature Compliance professional to take on a leadership role for their Equities Compliance team in Hong Kong.Job DescriptionReporting to the Regional Head of Compliance, you will be responsible for: Providing compliance advices to the Equity Derivatives business in their daily business operations Sitting with the equities sales and trading business and supporting them on new business initiatives from the compliance Read more […]
AML – Business Analyst recruitment
Job Title: AML – Business Analyst Salary: HKD $610,000 – $920,000 Location: Hong Kong Summary: Recognised globally as a Top Tier Investment Bank our client is looking to strengthen their Core Compliance Team inHong Kong. You will be initially involved in regulatory driven change projects focusing on the client on boarding, KYC and AML functions. This is one of the most important initiatives for our client and will offer you excellent exposure, leading to great career progression. Requirements: Full lifecycle Project Management capability. Experience of working with regulators such as HKMA Read more […]
Hong Kong Capital Markets Lawyer – Private Practice (Ref.no: HKCML/SW030212) recruitment
Our client is a leading global law firm that has been serving the Asian market for nearly 40 years. With over 100 lawyers it has established itself as a major player in the market offering a full range of legal services, with most lawyers speaking multiple languages. The successful candidate will be joining the China Corporate Finance Group. They will be providing a capital markets legal service. They will be expected to work on IPOs, listing rules and compliance regulations, some of these deals will be China-related. To be considered for this position the successful Read more […]
Snr Legal Counsel – Corporate recruitment
My client is an independent body and is now seeking a senior corporate lawyer to join the Group Legal function. The ideal candidate will have excellent drafting skills, strong corporate/MA experience and ideally a strong working knowledge of the regulatory framework in Hong Kong. The role will involve a broad range of duties and will be less transactional in nature, thus providing a more stable working envrionment. Chinese language skills highly desirable.For more information please contact Liam Richardson on +852 2168 0791 or liamrichardson@puresearch.com Read more […]
Associate Director – Compliance recruitment
Director Level Compliance Opportunity Leading Global Investment Bank Senior Stakeholder Exposure throughout the Business Global Banking Markets Summary: My client is a top tier Global Investment Bank that is looking to continue its strong performance by attracting a Senior Global Markets Compliance professional. You will be advising on and monitoring all aspects of Global Markets businesses but with specific responsibility for Equity Derivatives. This is a fantastic opportunity for a top performing compliance officer who has expert knowledge on equity derivatives product to progress their career. Requirements: 8-10 Read more […]
Leading Insurer – Head of Legal and Compliance recruitment
Responsibilities: Ensuring the Hong Kong Office’s compliance with legal, corporate and financial regulations governing the insurer’s licences, market conduct of financial adviser representatives, and securities dealing license Monitoring of business risks, possible fraud and illegal activities in Business Units. Ensure risks are appropriately mitigated, effective controls implemented and enforced. acting as local HK Legal in-house counsel Company Secretary to BU, responsible to review and draft all legal documents in accordance with local BU requirements. Managing local external legal counsel Read more […]
AVP-VP, AML Compliance Manager recruitment
Reporting directly to the Regional Head, you will act as an advisor to the business in relation to AML, Sanctions and Due Diligence. Other key tasks include:- Client identification- Transaction Monitoring- Active participation in counterparty review- Control checks and Gap Analysis- Regional over-sight of rules and regulations relating to AML, Fraud and Anti-Bribery.Individuals applying for this position should come from an international banking background, with demonstrable industry knowledge (in Global Markets, Private Wealth Management and Corporate Banking) and currently be working within Read more […]
Compliance Manager, Trade Finance Business recruitment
Attractive SalaryStable and Growing Business About our ClientOur client has a history of stability and steady growth in the region and an excellent opportunity has arisen a Banking Compliance professional to join their Regional Compliance team based in Hong Kong. Job DescriptionManaging the Trade Finance Business Compliance, You will be responsible for: Formulating and reviewing compliance policies and conducting compliance checking Monitoring the Group’s operational procedures and activities to ensure adherence with regulatory requirements Advising management and the business on compliance issues Read more […]
VP- Director, Trade Surveillance and Monitoring recruitment
This role will look across the groups business in Hong Kong, montoring and conducting trade surveillance across fixed income, equities and some equity derivatives for the main business lines, including Private Wealth Management and capital markets.Key Responsibilities: – Monitor trading across all asset classes – Identify exceptions to regulatory requirements and policy. – Maintain an up-to-date knowledge of regulatory requirements and advise front office on any potential implications. – Regularly communicate with the business on changes and updates that will effect trading activities. – Support Read more […]
Control Room Compliance – Investment Bank recruitment
Specific responsibilities in the role would include:Manage and maintain the Chinese Walls and the Watch Restricted Lists including placement of required trading restrictions Provide compliance advice and guidance on Control Room related matters including application of insider trading regulations Conduct and manage conflict checks Assist in conducting research report clearance Assist in continued development of the Control room including policy and technology developments. This includes updating, developing and implementing compliance policies and procedures to ensure that the Firm is in a Read more […]