VP Equities Compliance (Investment Banking), HKD100-110k (Based in Hong Kong) recruitment
The Company Our client is a leading investment bank looking to consolidate its position as a global leader through thorough expansion plans in the region. The Role Reporting to the Head of Equities Compliance, you will be responsible for the following duties: • Provide compliance advisory support to the equities business • To test the controls in place within the business to identify potential and actual breaches • To manage the production, delivery and completion of compliance monitoring plans • Assisting in the compliance risk assessment process across different business lines • Responsible Read more […]
VP Equities Compliance (Investment Banking), Excellent Career Exposure, 100-110k recruitment
The Company Our client is a leading investment bank looking to consolidate its position as a global leader through thorough expansion plans in the region. The Role Reporting to the Head of Equities Compliance, you will be responsible for the following duties: Provide accurate advice to the cash equities business on legislation related issues. Assist senior management to develop and promote the compliance framework. Ensure adherence to HKMA and HK Stock Exchange rules, guidelines and policies. Participate in reviewing new business initiatives and transactions. Liaising with regulators and Read more […]