VP, Compliance
This leading investment bank has a new opening for a Senior Compliance Manager to join in the Compliance - Securities division team to provide compliance assistance to the Equities and FICC team!
Job Description
In the role you will:
- Provide daily trade surveillance report and conduct transaction monitoring reviews
- Revising and testing the integrity of system controls by participating in testing programs and evaluating test results; and advise on policies to comply with the Hong Kong or other Asian regulatory standards to minimize potential risks
- Work closely and provide compliance advisory to the compliance team, the business and Technology teams
- Have Asia regional coverage
- Provide fraud investigation from regulators in the control spectrum
Required Experience
To be suitable for the role you will have:
- A minimum of 5 years compliance experience, preferably products advisor, surveillance or other system control function
- Familiar with securities and exchange rules
- Have regional working exposure
- Excellent interpersonal skills and excellent written and oral communication skills
- High attention to detail
- Strong analytical and problem solving skills
For more information, please contact Jenny Yeung on +852 2973 6333 or email jennyyeung@taylorroot.com.hk
Candidates with less experience may be considered for a VP role.
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.
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