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 for escalation of regulatory breaches to senior management and provide an appropriate resolution
Your Profile
You will be a university degree holder in business, finance or other related disciplines. You should have at least 7-10 years of relevant working experience with a background in equities compliance or IBD compliance. Product knowledge in cash equities would be preferred. Regional experience will be advantageous. Proficiency in English will be essential.
Apply Today
Send your resume (in WORD format) and quote reference number LC007 by clicking the apply button. Please note that only short-listed candidates will be contacted.