Top Tier Bank – Securities Division – Compliance Associate/VP
Reports to the Head of Compliance, you will join a team of 10 and provide coverage support to the Securities Division’s functional(Including Sales and trading) and FICC product areas. You will enjoy career progression along with the bank’s Asia Expansion plan.
You will provide advice on individual transactions, new products and business initiatives and conduct marketing materials reviews. You will also conduct trade surveillance on sales and trading activities to ensure compliance with appropriate rules, regulations firm policies. You will also conducting counterparty due diligence to ensure compliance with Firm policies regarding capacity, authority and suitability; creating and implementing compliance training programs for business unit professionals. You will also make sure the law and regulations changes are up to date and participating in regulatory and internal investigations and audits.
Desired Skills and Experience:
• 5-10 yrs of legal, compliance or accounting experience with securities or financial business
• Fluent in other Asian Language will be highly preferred
You will join an established organization and work with the top talents in the region. Contact me immediately with you updates CV at Compliance@connegcedgroup.com for more details.