Compliance Manager – US based Brokerage recruitment
Hong Kong• Growing Business • Multicultural environmentReporting to the VP, you will be responsible for the followings:• Managing any SFC HKEx Licensing compliance matters • Responding to all regulatory inquiries from the SFC • Ensuring compliance to firm’s policy by all employees relating to: training; staff dealing, gifts entertainment, AML, account opening order recording etc • Conducing AML review control and trade monitoring for any review errors or failed settlements • Monitoring and reviewing soft dollar issues • Developing internal controls and policies to Read more […]
October 15, 2010
• Tags: Asset Management careers in the Hong Kong SAR, Compliance Manager, US based Brokerage recruitment • Posted in: Financial • Comments Off on Compliance Manager – US based Brokerage recruitment