VP, Compliance ( Cash Equities) – Global Risk recruitment
Responsibilities
- Providing day-to-day compliance advisory services to the Equities business regarding the Firm’s policy, relevant regulatory requirements, and industry best practice
- Advising business on new rules and regulations which affect their business
- Coordinate with different teams to ensure the appropriate controls, policies and procedures are in place for current and new businesses
- Identify and resolve any compliance risks attached to the Equities business
- Deal with ad hoc compliance issues and provide support to both front office and back office staff;
- Investigate and handle investigations as well as handle regulatory inquiries, examinations and audits
- Analyze surveillance reports and conduct investigations when necessary
Requirements
- Good knowledge of regulatory and compliance requirements, especially those related to Cash Equities
- Possess at least 5 to 8 years of relevant Compliance experience gained within a global investment bank, preferably with a focus on Cash Equities products.
- Experience in working closely with country compliance coverage to deal with equities issues.
- Good analysis and interpersonal skills to evaluate difficult subject matter and advise the business appropriately
- Ability to work independently
Qualified interested candidates should submit their updated CV via this online application or call +852 2232 3431 for a confidential discussion today. Please note that only shortlisted applicants will be notified.
February 26, 2012
• Tags: Compliance ( Cash Equities), Equities careers in the Hong Kong SAR, Global Risk recruitment, VP • Posted in: Financial